SEC Form 4 · accession 0001181431-15-001923
CNX Resources Corp · CNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Brett Harvey
Director
Period of report
Dec 6, 2013
Accepted (ET)
Feb 3, 2015 · 7:30 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, 2015 | A | 334,324 | $0.00 | A | 988,723 | D | |
| Common shares, $0.01 par value per shareF2 | Jan 30, 2015 | F | 153,856 | $28.95 | D | 834,867 | D | |
| Common shares, $0.01 par value per shareF3 | Jan 30, 2015 | F | 12,398 | $28.95 | D | 822,469 | D | |
| Common shares, $0.01 par value per shareF4 | Dec 9, 2014 | G | 7,668 | $0.00 | D | 814,801 | D | |
| Common shares, $0.01 par value per shareF5 | Dec 3, 2014 | G | 27,714 | $0.00 | A | 179,314 | I | By Revocable Trust |
| Common shares, $0.01 par value per shareF5 | Dec 6, 2013 | G | 21,608 | $0.00 | A | 200,922 | I | By Revocable Trust |
| Common shares, $0.01 par value per share | Dec 3, 2014 | G | 35,089 | $0.00 | D | 0 | I | By 2013-2 GRAT |
| Common shares, $0.01 par value per share | Dec 6, 2013 | G | 21,608 | $0.00 | D | 0 | I | By 2011 GRAT |
| Common shares, $0.01 par value per shareF7 | Dec 3, 2014 | G | 2,457 | $0.00 | A | 12,837 | I | By Trust for Daughter |
| Common shares, $0.01 par value per shareF7 | Dec 3, 2014 | G | 2,459 | $0.00 | A | 12,838 | I | By Trust for Daughter |
| Common shares, $0.01 par value per shareF7 | Dec 3, 2014 | G | 2,459 | $0.00 | A | 12,839 | I | By Trust for Son |
| Common shares, $0.01 par value per shareF6 | holding | — | — | — | 2,000 | I | By Spouse's Revocable Trust | |
| Common shares, $0.01 par value per share | holding | — | — | — | 22,256 | I | By 2013-1 GRAT | |
| Common shares, $0.01 par value per share | holding | — | — | — | 20,208 | I | By 2014-1 GRAT | |
| Common shares, $0.01 par value per shareF8 | holding | — | — | — | 50,996 | I | By 401 (K) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the vesting and settlement of performance share units previously granted to the reporting person under the Long Term Incentive Program for the 2012-2014 performance period.
- F2Represents shares withheld to satisfy the reporting person's tax liability resulting from the vesting and settlement of the performance share units previously reported herein.
- F3Represents shares withheld to satisfy the reporting person's tax liability resulting from the vesting of restricted stock units previously granted to him.
- F4Of the 814,801 shares owned directly, 77,197 are restricted stock units and deferred shares (including dividend equivalent rights).
- F5Shares held in Mr. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees.
- F6Shares held in Mrs. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees.
- F7The 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.
- F8This number includes 531 shares acquired by the reporting person's 401 (K) account since 12/04/2014.