SEC Form 5 · accession 0001140361-17-007190

CARDINAL FINANCIAL CORP · CFNL

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

Reporting owner

Mark A Wendel

Officer — EVP/Chief Financial Officer

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 3:43 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	32	A	—	—	Common Stock	32	7,534	D
Deferred Stock Unit^F1	—	Jan 22, 2016	A	41	A	—	—	Common Stock	41	7,575	D
Deferred Stock Unit^F2,F1	—	Feb 2, 2016	A	33	A	—	—	Common Stock	33	5,132	D
Deferred Stock Unit^F1	—	Feb 9, 2016	A	41	A	—	—	Common Stock	41	5,174	D
Deferred Stock Unit^F1	—	Feb 11, 2016	A	1,261	A	—	—	Common Stock	1,261	6,435	D
Deferred Stock Unit^F1	—	Feb 16, 2016	A	39	A	—	—	Common Stock	39	6,474	D
Deferred Stock Unit^F1	—	Mar 1, 2016	A	38	A	—	—	Common Stock	38	6,512	D
Deferred Stock Unit^F1	—	Mar 16, 2016	A	38	A	—	—	Common Stock	38	6,550	D
Deferred Stock Unit^F1	—	Apr 5, 2016	A	39	A	—	—	Common Stock	39	6,589	D
Deferred Stock Unit^F1	—	Apr 19, 2016	A	36	A	—	—	Common Stock	36	6,625	D
Deferred Stock Unit^F1	—	May 2, 2016	A	34	A	—	—	Common Stock	34	6,659	D
Deferred Stock Unit^F2,F1	—	May 3, 2016	A	36	A	—	—	Common Stock	36	6,695	D
Deferred Stock Unit^F1	—	May 17, 2016	A	35	A	—	—	Common Stock	35	6,731	D
Deferred Stock Unit^F1	—	Jun 2, 2016	A	32	A	—	—	Common Stock	32	6,763	D
Deferred Stock Unit^F1	—	Jun 16, 2016	A	34	A	—	—	Common Stock	34	6,797	D
Deferred Stock Unit^F1	—	Jul 1, 2016	A	35	A	—	—	Common Stock	35	6,832	D
Deferred Stock Unit^F1	—	Jul 18, 2016	A	33	A	—	—	Common Stock	33	6,865	D
Deferred Stock Unit^F1	—	Aug 1, 2016	A	30	A	—	—	Common Stock	30	6,895	D
Deferred Stock Unit^F2,F1	—	Aug 2, 2016	A	33	A	—	—	Common Stock	33	6,928	D
Deferred Stock Unit^F1	—	Aug 16, 2016	A	29	A	—	—	Common Stock	29	6,957	D
Deferred Stock Unit^F1	—	Sep 1, 2016	A	28	A	—	—	Common Stock	28	6,985	D
Deferred Stock Unit^F1	—	Sep 16, 2016	A	29	A	—	—	Common Stock	29	7,014	D
Deferred Stock Unit^F1	—	Oct 3, 2016	A	29	A	—	—	Common Stock	29	7,043	D
Deferred Stock Unit^F1	—	Oct 18, 2016	A	30	A	—	—	Common Stock	30	7,073	D
Deferred Stock Unit^F2,F1	—	Nov 1, 2016	A	33	A	—	—	Common Stock	33	7,105	D
Deferred Stock Unit^F1	—	Nov 1, 2016	A	29	A	—	—	Common Stock	29	7,134	D
Deferred Stock Unit^F1	—	Nov 16, 2016	A	24	A	—	—	Common Stock	24	7,159	D
Deferred Stock Unit^F1	—	Nov 17, 2016	A	1,104	A	—	—	Common Stock	1,104	8,263	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.