SEC Form 4 · accession 0001070412-17-000005
CNX Resources Corp · CNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
N J Deiuliis
Officer — President and CEO · Director
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 6:42 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 share | Jan 31, 2017 | G | 69,526 | $0.00 | A | 290,020 | D | |
| Common shares, $0.01 par value per share | Jun 14, 2016 | G | 3,029 | $0.00 | D | 0 | I | By 2014-1 GRAT |
| Common shares, $0.01 par value per share | Mar 4, 2016 | G | 30,000 | $0.00 | D | 0 | I | By 2015-1 GRAT |
| Common shares, $0.01 par value per share | Nov 14, 2016 | G | 22,919 | $0.00 | D | 77,081 | I | By 2015-3 GRAT |
| Common shares, $0.01 par value per share | Aug 12, 2016 | G | 13,578 | $0.00 | D | 26,494 | I | By 2015-2 GRAT |
| Common shares, $0.01 par value per shareF2 | Jan 31, 2017 | A | 159,387 | $0.00 | A | 449,407 | D | |
| Common shares, $0.01 par value per shareF3 | Jan 30, 2017 | F | 14,409 | $18.30 | D | 434,998 | D | |
| Common shares, $0.01 par value per shareF3 | Jan 31, 2017 | F | 6,121 | $16.94 | D | 428,877 | D | |
| Common shares, $0.01 par value per shareF4 | Jan 31, 2017 | A | 166,244 | $0.00 | A | 595,121 | D | |
| Common shares, $0.01 par value per shareF5 | Jan 31, 2017 | F | 76,506 | $16.94 | D | 518,615 | D | |
| Common shares, $0.01 par value per shareF6 | Jan 31, 2017 | A | 60,142 | $0.00 | A | 578,757 | D | |
| Common shares, $0.01 par value per shareF5,F7 | Jan 31, 2017 | F | 27,678 | $16.94 | D | 551,079 | D | |
| Common shares, $0.01 par value per share | holding | — | — | — | 30,000 | I | By 2016-1 GRAT | |
| Common shares, $0.01 par value per shareF1 | holding | — | — | — | 1,098 | I | By Trust for Daughters |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2Grant of restricted stock units, which vest annually in equal installments over a period of three years, under the Company's Equity Incentive Plan.
- F3Represents shares withheld to satisfy the reporting person's tax liability resulting from the vesting of restricted stock units previously granted to him.
- F4Represents the vesting and settlement of performance share units previously granted to the reporting person under the 2016 Long Term Incentive Program for the 2016 tranche performance period.
- F5Represents shares withheld to satisfy the reporting person's tax liability resulting from the vesting and settlement of the performance share units previously reported herein.
- F6Represents the vesting and settlement of performance share units previously granted to the reporting person under the Long Term Incentive Program for the 2014-2016 performance period.
- F7Of the 551,079 shares held directly, 190,694 are restricted stock units (including dividend equivalent rights).