SEC Form 4 · accession 0001070412-17-000008
CNX Resources Corp · CNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Brock
Officer — EVP & Chief Op. Officer - Coal
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 6:46 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 | Jan 30, 2017 | F | 1,325 | $18.30 | D | 41,644 | D | |
| Common shares, $0.01 par value per shareF1 | Jan 31, 2017 | F | 1,259 | $16.94 | D | 40,385 | D | |
| Common shares, $0.01 par value per shareF2 | Jan 31, 2017 | A | 27,708 | $0.00 | A | 68,093 | D | |
| Common shares, $0.01 par value per shareF3,F4 | Jan 31, 2017 | F | 13,426 | $16.94 | D | 54,667 | D | |
| Common shares, $0.01 par value per shareF5 | holding | — | — | — | 27,276 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld to satisfy the reporting person's tax liability resulting from the vesting of restricted stock units previously granted to him.
- F2Represents 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.
- F3Represents shares withheld to satisfy the reporting person's tax liability resulting from the vesting and settlement of the performance share units previously reported herein.
- F4Of the 54,667 shares held directly, 14,805 are restricted stock units (including dividend equivalent rights).
- F5This number includes 3,211 shares acquired by the reporting person's 401(k) account since 3/7/2016.