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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
SUBORDINATED UNITS (LIMITED PARTNER INTERESTS) | (3) | 07/07/2014 | A(1) | 11,611,067 (1) | (3) | (3) | COMMON UNITS | 11,611,067 | $ 0 | 11,611,067 | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CONSOL Energy Inc 1000 CONSOL ENERGY DRIVE CANONSBURG, PA 15317 |
X | X |
/s/ Stephen W. Johnson, EVP and Chief Administrative Officer of CONSOL Energy Inc. | 07/08/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | In connection with the closing of the initial public offering of the Issuer, CONSOL Energy Inc. ("CONSOL") contributed certain assets to the Issuer and received (i) 861,067 common units and (ii) 11,611,067 subordinated units, representing an aggregate 55.8% limited partner interest in the Issuer. The underwriters of the initial public offering have the option to purchase an additional 750,000 common units of the Issuer. Any units not purchased by the underwriters pursuant to their option will be issued to CONSOL for no additional consideration. |
(2) | CONSOL Energy is the direct holder of limited partnership interests in the Issuer. CONSOL is also the sole owner of the membership interests of CNX Coal Resources GP LLC, the general partner of the Issuer (the "General Partner"). The General Partner owns a 2% general partner interest in the Issuer. |
(3) | Each subordinated unit will convert into one common unit at the end of the subordination period, as described in the Registration Statement. |