SEC Form 4 · accession 0001140361-17-016120
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
Apr 17, 2017
Accepted (ET)
Apr 19, 2017 · 9:34 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060523
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 17, 2017 | S | 20,294 | $27.5837 | D | 10,305 | D | |
| Common Stock | Apr 17, 2017 | M | 5,335 | $20.05 | A | 15,640 | D | |
| Common Stock | Apr 17, 2017 | M | 1,667 | $19.18 | A | 17,307 | D | |
| Common Stock | Apr 17, 2017 | S | 7,002 | $27.5837 | D | 10,305 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $20.05 | Apr 17, 2017 | M | 5,335 | D | — | Mar 18, 2025 | Common Stock | 5,335 | 0 | D |
| Stock OptionF2 | $19.18 | Apr 17, 2017 | M | 1,667 | D | — | Feb 16, 2026 | Common Stock | 1,667 | 1,667 | D |
Explanation of responses
- F1The stock options vested as follows: 1/3 on March 18, 2015, and 1/3 on the anniversary date of the grant for two years.
- F2The stock options vested as follows: 1/3 on February 16, 2016 and 1/3 on the anniversary date of the grant for two years.