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CNX Resources Corp — Director's Dealing 2012
Nov 5, 2012
31089_dirs_2012-11-05_7e730f54-9662-42d0-aa4d-b220f0931a13.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: 2012-11-01
Reporting Person: HARVEY J BRETT (Director, Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-01 | Common shares, $0.01 par value per share | M | 240000 | $8.60 | Acquired | 495537 | Direct |
| 2012-11-01 | Common shares, $0.01 par value per share | M | 200 | $8.60 | Acquired | 495737 | Direct |
| 2012-11-01 | Common shares, $0.01 par value per share | F | 130966 | $36.53 | Disposed | 364771 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-11-01 | Stock Option (right to buy) | $8.60 | M | 240000 | Disposed | 2013-04-30 | Common shares, $0.01 par value per share (240000) | Direct |
| 2012-11-01 | Stock Option (right to buy) | $8.60 | M | 200 | Disposed | 2013-04-30 | Common shares, $0.01 par value per share (200) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| 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 |
| Common shares, $0.01 par value per share | 2000 | Indirect |
| Common shares, $0.01 par value per share | 27904 | Indirect |
| Common shares, $0.01 par value per share | 50457 | Indirect |
| Common shares, $0.01 par value per share | 45096 | Indirect |
| Common shares, $0.01 par value per share | 70000 | Indirect |
| Common shares, $0.01 par value per share | 46076 | Indirect |
Footnotes
F1: Of the 364,771 shares owned directly, 29,663 are restricted stock units and deferred shares (including dividend equivalent rights).
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 the securities for the purposes of Section 16 or for any other purpose.
F3: Shares held in Mrs. Harvey's Amended and Restated Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as trustees.
F4: This number includes 6 shares acquired by the reporting person's 401(k) account since August 28, 2012.
F5: Stock option grant provides that options vest 25% per year beginning on April 30, 2004.