SEC Form 5 · accession 0001140361-17-007166

CARDINAL FINANCIAL CORP · CFNL

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

Reporting owner

Alice P Frazier

Officer — Chief Operating Officer

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 3:34 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 22, 2016	A	23	A	—	—	Common Stock	23	9,124	D
Deferred Stock Unit^F2,F1	—	Feb 2, 2016	A	49	A	—	—	Common Stock	49	7,545	D
Deferred Stock Unit^F1	—	Feb 9, 2016	A	23	A	—	—	Common Stock	23	7,568	D
Deferred Stock Unit^F1	—	Feb 11, 2016	A	2,242	A	—	—	Common Stock	2,242	9,810	D
Deferred Stock Unit^F1	—	Feb 16, 2016	A	22	A	—	—	Common Stock	22	9,832	D
Deferred Stock Unit^F1	—	Mar 1, 2016	A	21	A	—	—	Common Stock	21	9,853	D
Deferred Stock Unit^F1	—	Mar 16, 2016	A	21	A	—	—	Common Stock	21	9,874	D
Deferred Stock Unit^F1	—	Apr 5, 2016	A	21	A	—	—	Common Stock	21	9,895	D
Deferred Stock Unit^F1	—	Apr 19, 2016	A	20	A	—	—	Common Stock	20	9,916	D
Deferred Stock Unit^F1	—	May 2, 2016	A	19	A	—	—	Common Stock	19	9,934	D
Deferred Stock Unit^F2,F1	—	May 3, 2016	A	54	A	—	—	Common Stock	54	9,989	D
Deferred Stock Unit^F1	—	May 17, 2016	A	20	A	—	—	Common Stock	20	10,008	D
Deferred Stock Unit^F1	—	Jun 2, 2016	A	18	A	—	—	Common Stock	18	10,026	D
Deferred Stock Unit^F1	—	Jun 16, 2016	A	19	A	—	—	Common Stock	19	10,045	D
Deferred Stock Unit^F1	—	Jul 1, 2016	A	19	A	—	—	Common Stock	19	10,065	D
Deferred Stock Unit^F1	—	Jul 18, 2016	A	18	A	—	—	Common Stock	18	10,083	D
Deferred Stock Unit^F1	—	Aug 1, 2016	A	17	A	—	—	Common Stock	17	10,100	D
Deferred Stock Unit^F2,F1	—	Aug 2, 2016	A	48	A	—	—	Common Stock	48	10,148	D
Deferred Stock Unit^F1	—	Aug 16, 2016	A	16	A	—	—	Common Stock	16	10,164	D
Deferred Stock Unit^F1	—	Sep 1, 2016	A	16	A	—	—	Common Stock	16	10,180	D
Deferred Stock Unit^F1	—	Sep 16, 2016	A	16	A	—	—	Common Stock	16	10,196	D
Deferred Stock Unit^F1	—	Oct 3, 2016	A	16	A	—	—	Common Stock	16	10,212	D
Deferred Stock Unit^F1	—	Oct 18, 2016	A	16	A	—	—	Common Stock	16	10,228	D
Deferred Stock Unit^F2,F1	—	Nov 1, 2016	A	47	A	—	—	Common Stock	47	10,276	D
Deferred Stock Unit^F1	—	Nov 1, 2016	A	16	A	—	—	Common Stock	16	10,292	D
Deferred Stock Unit^F1	—	Nov 16, 2016	A	13	A	—	—	Common Stock	13	10,305	D
Deferred Stock Unit^F1	—	Nov 17, 2016	A	1,330	A	—	—	Common Stock	1,330	11,635	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.