SEC Form 5 · accession 0001140361-17-007183

CARDINAL FINANCIAL CORP · CFNL

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

Reporting owner

F Kevin Reynolds

Officer — President, Cardinal Bank, N.A.

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 3:40 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	53	A	—	—	Common Stock	53	12,203	D
Deferred Stock Unit^F1	—	Jan 22, 2016	A	67	A	—	—	Common Stock	67	9,512	D
Deferred Stock Unit^F2,F1	—	Feb 2, 2016	A	62	A	—	—	Common Stock	62	9,574	D
Deferred Stock Unit^F1	—	Feb 9, 2016	A	68	A	—	—	Common Stock	68	9,642	D
Deferred Stock Unit^F1	—	Feb 11, 2016	A	1,126	A	—	—	Common Stock	1,126	10,768	D
Deferred Stock Unit^F1	—	Feb 16, 2016	A	64	A	—	—	Common Stock	64	10,832	D
Deferred Stock Unit^F1	—	Mar 1, 2016	A	62	A	—	—	Common Stock	62	10,894	D
Deferred Stock Unit^F1	—	Mar 16, 2016	A	62	A	—	—	Common Stock	62	10,956	D
Deferred Stock Unit^F1	—	Apr 5, 2016	A	76	A	—	—	Common Stock	76	11,032	D
Deferred Stock Unit^F1	—	Apr 19, 2016	A	66	A	—	—	Common Stock	66	11,098	D
Deferred Stock Unit^F1	—	May 2, 2016	A	126	A	—	—	Common Stock	126	11,224	D
Deferred Stock Unit^F2,F1	—	May 3, 2016	A	61	A	—	—	Common Stock	61	11,286	D
Deferred Stock Unit^F1	—	May 17, 2016	A	64	A	—	—	Common Stock	64	11,350	D
Deferred Stock Unit^F1	—	Jun 2, 2016	A	59	A	—	—	Common Stock	59	11,408	D
Deferred Stock Unit^F1	—	Jun 16, 2016	A	62	A	—	—	Common Stock	62	11,470	D
Deferred Stock Unit^F1	—	Jul 1, 2016	A	57	A	—	—	Common Stock	57	11,528	D
Deferred Stock Unit^F1	—	Jul 18, 2016	A	59	A	—	—	Common Stock	59	11,587	D
Deferred Stock Unit^F1	—	Aug 1, 2016	A	54	A	—	—	Common Stock	54	11,641	D
Deferred Stock Unit^F2,F1	—	Aug 2, 2016	A	56	A	—	—	Common Stock	56	11,696	D
Deferred Stock Unit^F1	—	Aug 16, 2016	A	53	A	—	—	Common Stock	53	11,749	D
Deferred Stock Unit^F1	—	Sep 1, 2016	A	51	A	—	—	Common Stock	51	11,800	D
Deferred Stock Unit^F1	—	Sep 16, 2016	A	53	A	—	—	Common Stock	53	11,853	D
Deferred Stock Unit^F1	—	Oct 3, 2016	A	52	A	—	—	Common Stock	52	11,905	D
Deferred Stock Unit^F1	—	Oct 18, 2016	A	53	A	—	—	Common Stock	53	11,958	D
Deferred Stock Unit^F2,F1	—	Nov 1, 2016	A	55	A	—	—	Common Stock	55	12,014	D
Deferred Stock Unit^F1	—	Nov 1, 2016	A	52	A	—	—	Common Stock	52	12,066	D
Deferred Stock Unit^F1	—	Nov 16, 2016	A	44	A	—	—	Common Stock	44	12,110	D
Deferred Stock Unit^F1	—	Nov 17, 2016	A	715	A	—	—	Common Stock	715	12,824	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.