SEC Form 4 · accession 0001070412-17-000009
CNX Resources Corp · CNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy C Dugan
Officer — EVP & Chief Op. Officer - E&P
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 31, 2017 | A | 50,473 | $0.00 | A | 100,644 | D | |
| Common shares, $0.01 par value per shareF2 | Jan 30, 2017 | F | 1,968 | $18.30 | D | 98,676 | D | |
| Common shares, $0.01 par value per shareF2 | Jan 31, 2017 | F | 2,984 | $16.94 | D | 95,692 | D | |
| Common shares, $0.01 par value per shareF3 | Jan 31, 2017 | A | 38,788 | $0.00 | A | 134,480 | D | |
| Common shares, $0.01 par value per shareF4,F5 | Jan 31, 2017 | F | 16,492 | $16.94 | D | 117,988 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock units, which vest annually in equal installments over a period of three years, under the Company's Equity Incentive Plan.
- F2Represents shares withheld to satisfy the reporting person's tax liability resulting from the vesting of restricted stock units previously granted to him.
- F3Represents 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.
- F4Represents shares withheld to satisfy the reporting person's tax liability resulting from the vesting and settlement of the performance share units previously reported herein.
- F5Of the 117,988 shares held directly, 67,630 are restricted stock units (including dividend equivalent rights).