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CNX Resources Corp — Director's Dealing 2014
May 12, 2014
31089_dirs_2014-05-12_ddbd2d80-4a26-46f2-a88e-291bb96ab4c9.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: 2014-04-21
Reporting Person: HARVEY J BRETT (Director, Executive Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-04-21 | Common shares, $0.01 par value per share | G | 33064 | — | Disposed | 2696 | Indirect |
| 2014-04-21 | Common shares, $0.01 par value per share | G | 33064 | — | Acquired | 139616 | Indirect |
| 2014-04-21 | Common shares, $0.01 par value per share | G | 2696 | — | Disposed | 0 | Indirect |
| 2014-04-21 | Common shares, $0.01 par value per share | G | 898 | — | Acquired | 10379 | Indirect |
| 2014-04-21 | Common shares, $0.01 par value per share | G | 899 | — | Acquired | 10380 | Indirect |
| 2014-04-21 | Common shares, $0.01 par value per share | G | 899 | — | Acquired | 10380 | Indirect |
| 2014-05-12 | Common shares, $0.01 par value per share | G | 11984 | — | Disposed | 22256 | Indirect |
| 2014-05-12 | Common shares, $0.01 par value per share | G | 11984 | — | Acquired | 151600 | Indirect |
| 2014-05-08 | Common shares, $0.01 par value per share | M | 120736 | $22.75 | Acquired | 743978 | Direct |
| 2014-05-08 | Common shares, $0.01 par value per share | F | 90109 | $42.92 | Disposed | 653869 | Direct |
| 2014-05-08 | Common shares, $0.01 par value per share | M | 200 | $22.75 | Acquired | 654069 | Direct |
| 2014-05-08 | Common shares, $0.01 par value per share | F | 150 | $42.92 | Disposed | 653919 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-05-08 | Stock Option (right to buy) | $22.75 | M | 120736 | Disposed | 2015-05-03 | Common shares, $0.01 par value per share (120736) | Direct |
| 2014-05-08 | Stock Option (right to buy) | $22.75 | M | 200 | Disposed | 2015-05-03 | Common shares, $0.01 par value per share (200) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common shares, $0.01 par value per share | 2000 | Indirect |
| Common shares, $0.01 par value per share | 21608 | Indirect |
| Common shares, $0.01 par value per share | 35089 | Indirect |
| Common shares, $0.01 par value per share | 20208 | Indirect |
| Common shares, $0.01 par value per share | 49715 | Indirect |
Footnotes
F1: 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.
F2: Shares held in Mr. Harvey's Amended and Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees.
F3: Represents shares withheld to pay the tax liability and exercise costs in connection with the exercise of the options.
F4: Of the 653,919 shares owned directly, 103,657 are restricted stock units and deferred shares (including dividend equivalent rights).
F5: Shares held in Mrs. Harvey's Amended and Revocable Trust, dated December 17, 2007, in which Mr. and Mrs. Harvey serve as Trustees
F6: This number includes 435 shares acquired by the reporting person's 401 (k) account since March 4, 2014.
F7: Stock opton grant provides that options vest 25% per year beginning on May 3, 2006.