SEC Form 5 · accession 0001140361-17-007169
CARDINAL FINANCIAL CORP · CFNL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A Garcia
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 3:35 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 UnitF1 | — | Jan 4, 2016 | A | 206 | A | — | — | Common Stock | 206 | 58,645 | D |
| Deferred Stock UnitF2,F1 | — | Feb 2, 2016 | A | 380 | A | — | — | Common Stock | 380 | 59,025 | D |
| Deferred Stock UnitF1 | — | Feb 2, 2016 | A | 851 | A | — | — | Common Stock | 851 | 59,876 | D |
| Deferred Stock UnitF1 | — | Mar 4, 2016 | A | 786 | A | — | — | Common Stock | 786 | 60,663 | D |
| Deferred Stock UnitF1 | — | Mar 31, 2016 | A | 350 | A | — | — | Common Stock | 350 | 61,013 | D |
| Deferred Stock UnitF2,F1 | — | May 3, 2016 | A | 334 | A | — | — | Common Stock | 334 | 61,347 | D |
| Deferred Stock UnitF1 | — | May 3, 2016 | A | 479 | A | — | — | Common Stock | 479 | 61,826 | D |
| Deferred Stock UnitF1 | — | Jun 1, 2016 | A | 639 | A | — | — | Common Stock | 639 | 62,465 | D |
| Deferred Stock UnitF1 | — | Jul 1, 2016 | A | 487 | A | — | — | Common Stock | 487 | 62,952 | D |
| Deferred Stock UnitF1 | — | Aug 1, 2016 | A | 179 | A | — | — | Common Stock | 179 | 63,130 | D |
| Deferred Stock UnitF2,F1 | — | Aug 2, 2016 | A | 301 | A | — | — | Common Stock | 301 | 63,432 | D |
| Deferred Stock UnitF1 | — | Sep 1, 2016 | A | 607 | A | — | — | Common Stock | 607 | 64,038 | D |
| Deferred Stock UnitF1 | — | Oct 3, 2016 | A | 231 | A | — | — | Common Stock | 231 | 64,269 | D |
| Deferred Stock UnitF2,F1 | — | Nov 1, 2016 | A | 298 | A | — | — | Common Stock | 298 | 64,568 | D |
| Deferred Stock UnitF1 | — | Nov 1, 2016 | A | 420 | A | — | — | Common Stock | 420 | 64,988 | D |
| Deferred Stock UnitF1 | — | Dec 1, 2016 | A | 511 | A | — | — | Common Stock | 511 | 65,499 | D |
| Deferred Stock UnitF1 | — | Dec 30, 2016 | A | 400 | A | — | — | Common Stock | 400 | 65,899 | 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 Directors Deferred Income Plan.
- F2Company match to Deferred Stock Units in accordance with the terms of the Cardinal Financial Corporation Directors Deferred Income Plan.