SEC Form 4 · accession 0001070412-16-000124
CNX Resources Corp · CNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Brett Harvey
Director
Period of report
Mar 3, 2016
Accepted (ET)
Mar 7, 2016 · 6:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001070412
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common shares, $0.01 par value per shareF1,F2 | Mar 3, 2016 | A | 4 | $0.00 | A | 4,559 | D | |
| Common shares, $0.01 par value per shareF3 | Jan 15, 2016 | G | 120,000 | $0.00 | D | 632,660 | I | By Revocable Trust |
| Common shares, $0.01 par value per share | Jan 15, 2016 | G | 120,000 | $0.00 | A | 120,000 | I | By 2015-3 GRAT |
| Common shares, $0.01 par value per shareF4 | holding | — | — | — | 2,000 | I | By Spouse's Revocable Trust | |
| Common shares, $0.01 par value per share | holding | — | — | — | 9,183 | I | By 2014-1 GRAT | |
| Common shares, $0.01 par value per share | holding | — | — | — | 60,000 | I | By 2015-1 GRAT | |
| Common shares, $0.01 par value per share | holding | — | — | — | 100,000 | I | By 2015-2 GRAT | |
| Common shares, $0.01 par value per shareF5 | holding | — | — | — | 46,643 | I | By Trust for Daughter 1 | |
| Common shares, $0.01 par value per shareF5 | holding | — | — | — | 46,643 | I | By Trust for Daughter 2 | |
| Common shares, $0.01 par value per shareF5 | holding | — | — | — | 46,644 | I | By Trust for Son | |
| Common shares, $0.01 par value per share | holding | — | — | — | 51,498 | I | By IRA Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents dividend equivalent rights earned under the Equity Incentive Plan as part of a grant of restricted stock units.
- F2Of the 4,559 shares owned directly, 4,559 are restricted stock units (including dividend equivalent rights).
- F3Shares held in Mr. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees.
- F4Shares held in Mrs. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees.
- F5The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for the purposes of Section 16 or for any other purpose.