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CNX Resources Corp — Director's Dealing 2011
Jan 24, 2011
31089_dirs_2011-01-24_4e709e7e-ec29-4851-afbb-e9793ba025aa.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CONSOL Energy Inc (CNX)
CIK: 0001070412
Period of Report: 2009-12-18
Reporting Person: HARVEY J BRETT (Director, Chairman, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-12-10 | Common shares, $0.01 par value per share | G | 69864 | — | Disposed | 0 | Indirect |
| 2010-12-10 | Common shares, $0.01 par value per share | G | 9481 | — | Acquired | 9481 | Indirect |
| 2010-12-10 | Common shares, $0.01 par value per share | G | 9481 | — | Acquired | 9481 | Indirect |
| 2010-12-10 | Common shares, $0.01 par value per share | G | 9481 | — | Acquired | 9481 | Indirect |
| 2010-12-10 | Common shares, $0.01 par value per share | G | 41421 | — | Acquired | 89118 | Indirect |
| 2009-12-18 | Common shares, $0.01 par value per share | G | 2151 | — | Disposed | 69864 | Indirect |
| 2010-12-22 | Common shares, $0.01 par value per share | G | 2270 | — | Disposed | 86848 | Indirect |
| 2010-12-29 | Common shares, $0.01 par value per share | G | 73000 | — | Disposed | 13848 | Indirect |
| 2010-12-29 | Common shares, $0.01 par value per share | G | 73000 | — | Acquired | 73000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common shares, $0.01 par value per share | 247272 | Direct |
| Common shares, $0.01 par value per share | 2000 | Indirect |
| Common shares, $0.01 par value per share | 42349 | Indirect |
Footnotes
F1: This transaction involved the termination of the 2008 GRAT and a distribution for no value of the shares held by the 2008 GRAT to three separate trusts established for the benefit of each of the reporting person's children. The reporting person's wife serves as the co-trustee for each of these trusts along with the respective child beneficiary. The balance of shares remaining in the 2008 GRAT were then transferred to Mr. Harvey's Revocable Trust and the 2008 GRAT was terminated.
F2: The 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 such securities for purposes of Section 16 or for any other purpose.
F3: Shares held in Mr. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as trustees.
F4: On December 29, 2010, Mr. Harvey's Revocable Trust contributed 73,000 shares of issuer common stock to a 2010 grantor retained annuity trust (GRAT) established for the benefit of the reporting person.
F5: Of the 247,272 shares owned directly, 71,184 are restricted stock units including dividend equivalent rights.
F6: Shares held in Mrs. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as trustees.