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CNX Resources Corp — Director's Dealing 2011
Nov 7, 2011
31089_dirs_2011-11-07_255e272e-3d0e-48ed-9ccb-f65702c160e3.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: 2011-11-03
Reporting Person: HARVEY J BRETT (Director, Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-11-03 | Common shares, $0.01 par value per share | M | 120000 | $6.805 | Acquired | 374480 | Direct |
| 2011-11-03 | Common shares, $0.01 par value per share | S | 82447 | $44.49 | Disposed | 292033 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-11-03 | Stock Option (right to buy) | $6.805 | M | 120000 | Disposed | 2012-09-10 | Common shares, $0.01 par value per share (120000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common shares, $0.01 par value per share | 73000 | Indirect |
| Common shares, $0.01 par value per share | 12904 | Indirect |
| Common shares, $0.01 par value per share | 2000 | Indirect |
| Common shares, $0.01 par value per share | 9481 | Indirect |
| Common shares, $0.01 par value per share | 9481 | Indirect |
| Common shares, $0.01 par value per share | 9481 | Indirect |
Footnotes
F1: Represents the weighted average sales price of multiple sales transactions ranging in price from $44.40 to $44.60. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC Commission staff, the Issuer or a security holder of the Issuer.
F2: Of the 292,033 shares owned directly, 48,268 are restricted stock units and deferred shares (including dividend equivalent rights).
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: Shares held in Mrs. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as trustees.
F5: 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 the securities for the purposes of Section 16 or for any other purpose.
F6: Stock option grant provides that options vest 25% per year beginning on September 10, 2003.