SEC Form 4 · accession 0001209191-15-068077
CNX Resources Corp · CNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Brett Harvey
Director
Period of report
Aug 24, 2015
Accepted (ET)
Aug 26, 2015 · 5:17 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 shareF1,F2 | Aug 24, 2015 | A | 3 | $0.00 | A | 141,229 | D | |
| 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 shareF3 | holding | — | — | — | 46,643 | I | By Trust for Daughter 1 | |
| Common Shares, $0.01 par value per shareF3 | holding | — | — | — | 46,643 | I | By Trust for Daughter 2 | |
| Common Shares, $0.01 par value per shareF3 | holding | — | — | — | 46,644 | I | By Trust for Son | |
| Common Shares, $0.01 par value per shareF4 | holding | — | — | — | 715,982 | I | By Revocable Trust | |
| Common Shares, $0.01 par value per shareF5 | holding | — | — | — | 2,000 | I | By Spouse's Revocable Trust | |
| Common Shares, $0.01 par value per shareF6 | holding | — | — | — | 51,498 | I | By IRA Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents dividend equivalent rights earned under the Equity Incentive Plan as part of a grant of restricted stock units.
- F2Of the 141,229 shares owned directly, 4,550 are restricted stock units (including dividend equivalent rights).
- F3The 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.
- F4Shares held in Mr. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees.
- F5Shares held in Mrs. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees.
- F6Reflects the shares previously held in the reporting person's 401(k) plan, which were transferred into his IRA account.