SEC Form 4 · accession 0001209191-15-063659
CNX Resources Corp · CNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Brett Harvey
Director
Period of report
Jul 31, 2015
Accepted (ET)
Aug 4, 2015 · 4:32 pm EDT
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 | Jul 31, 2015 | G | 483,196 | $0.00 | D | 176,246 | D | |
| Common shares, $0.01 par value per shareF1,F2 | Jul 31, 2015 | F | 35,020 | $16.52 | D | 141,226 | D | |
| Common shares, $0.01 par value per shareF3 | Jul 31, 2015 | G | 483,196 | $0.00 | A | 715,982 | I | By 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 shareF4 | holding | — | — | — | 46,643 | I | By Trust for Daughter 1 | |
| Common shares, $0.01 par value per shareF4 | holding | — | — | — | 46,643 | I | By Trust for Daughter 2 | |
| Common shares, $0.01 par value per shareF4 | holding | — | — | — | 46,644 | I | By Trust for Son | |
| Common shares, $0.01 par value per shareF5 | holding | — | — | — | 2,000 | I | By Spouse's Revocable Trust | |
| Common shares, $0.01 par value per share | holding | — | — | — | 51,499 | 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 and deferred shares previously granted to him.
- F2Of the 141,226 shares owned directly, 4,547 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.
- F4The 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.
- F5Shares held in Mrs. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees.