SEC Form 5 · accession 0001140361-17-007154

CARDINAL FINANCIAL CORP · CFNL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Christopher W Bergstrom

Officer — President, Cardinal Bank, N.A.

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 3:29 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001060523

Table I — non-derivative securities

No Table I lines on this filing.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Deferred Stock Unit^F1	—	Jan 4, 2016	A	101	A	—	—	Common Stock	101	13,794	D
Deferred Stock Unit^F1	—	Jan 22, 2016	A	150	A	—	—	Common Stock	150	10,762	D
Deferred Stock Unit^F2,F1	—	Feb 2, 2016	A	70	A	—	—	Common Stock	70	10,832	D
Deferred Stock Unit^F1	—	Feb 9, 2016	A	151	A	—	—	Common Stock	151	10,983	D
Deferred Stock Unit^F1	—	Feb 16, 2016	A	143	A	—	—	Common Stock	143	11,126	D
Deferred Stock Unit^F1	—	Mar 1, 2016	A	176	A	—	—	Common Stock	176	11,302	D
Deferred Stock Unit^F1	—	Mar 16, 2016	A	167	A	—	—	Common Stock	167	11,468	D
Deferred Stock Unit^F1	—	Apr 5, 2016	A	169	A	—	—	Common Stock	169	11,637	D
Deferred Stock Unit^F1	—	Apr 19, 2016	A	159	A	—	—	Common Stock	159	11,796	D
Deferred Stock Unit^F1	—	May 2, 2016	A	147	A	—	—	Common Stock	147	11,943	D
Deferred Stock Unit^F2,F1	—	May 3, 2016	A	65	A	—	—	Common Stock	65	12,009	D
Deferred Stock Unit^F1	—	May 17, 2016	A	155	A	—	—	Common Stock	155	12,164	D
Deferred Stock Unit^F1	—	Jun 2, 2016	A	142	A	—	—	Common Stock	142	12,305	D
Deferred Stock Unit^F1	—	Jun 16, 2016	A	150	A	—	—	Common Stock	150	12,455	D
Deferred Stock Unit^F1	—	Jul 1, 2016	A	152	A	—	—	Common Stock	152	12,607	D
Deferred Stock Unit^F1	—	Jul 18, 2016	A	144	A	—	—	Common Stock	144	12,751	D
Deferred Stock Unit^F1	—	Aug 1, 2016	A	130	A	—	—	Common Stock	130	12,882	D
Deferred Stock Unit^F2,F1	—	Aug 2, 2016	A	61	A	—	—	Common Stock	61	12,943	D
Deferred Stock Unit^F1	—	Aug 16, 2016	A	127	A	—	—	Common Stock	127	13,070	D
Deferred Stock Unit^F1	—	Sep 1, 2016	A	84	A	—	—	Common Stock	84	13,154	D
Deferred Stock Unit^F2,F1	—	Nov 1, 2016	A	61	A	—	—	Common Stock	61	13,215	D

Explanation of responses

F1Each Deferred Stock Unit is the economic equivalent of one share of CFNL common stock. The Deferred Stock Units become payable in shares of common stock in accordance with the terms of the Cardinal Financial Corporation Executive Deferred Income Plan.
F2Company match to Deferred Stock Units in accordance with the terms of the Cardinal Financial Corporation Executive Deferred Income Plan.