U.S. OFFICE OF GOVERNlliENT ET! l!CS

Certification of Ethics .Agreement Compliance
Qunc 2017 \'ersion)

. CERTIFICATIO]'.j OF ETf{ICS AGREEMENT COMPLIANCE
Senate Confirmed Presidential Appointee
.

to be· c01nplctcd hy (1CE

a. Appointce}s Name:

Steven E. Winberg
lube crnnpktl'd by ()(; H

b. Position 1'itle:

Assistant Secretary for the Office of Fossil Energy
lo bl' coo1pleted by

c. Agency:

1.
.

.

Appointee's
Information

()(;i·,;

U.S. Department of Energy
to be co1npktcd hy ()GE

d. Date Ethics Agreement Signed:

September 13, 2017
to be cn1npleted by ()(;J.•:

e. Date Confirn1ed:

.
~

2.

November 2, 2017
to be cncnpkrcd by ()GE

f. Due Date for Certification of Ethics
1\gree1nent Co1npliance:

February 7, 2018

I co1npleted all of the resignations indicated in
nry ethics agree111e11t before I ass11111ed the duties
oj'my c11rre11t govenunent position.

<'.!)Yes

QNo

QN/A

QYcs

@No

QN/A

QYes

@No

QN/A

Resignations
.

a. I have completed all of the divestit1ms
indicated i11 my ethics agreen1e11t. I also
understand that I mqy not repurchase these
assets during my appointment 1vitho11t
OGE 's prior appivval

.

3.
.

.Dives.titures

b. I have filed a pe1iod transaction report, or

periodic tra11sactio11 reports, (OGE Forni
278-T) to disdose tbe <Vmpletion of these
agreed upon divestitures.

Filing Date(s) of OGE Form 278-T Report(s):

.

4.

.

Managed
AccOunts
.

5.
Interim
Recusals

lfl have a 1J1a11aged acco1111t or use the services
of all i11vest111e11t professional, I have notified the
111anager orp1vjessiona! oj'the limitations
indicated ill 111)' ethics agreen1ent. I11 additiou,
I a111 co11ti1111i11g lo 111onitor purchases.
I contplied JJJith Ill)' interhn recusal obligations
pending the divestitures required l?J nty ethics
agreement.

@Yes

QNo

ON/A

@Yes

QNo

QN/A

·.

THIS CERTIFICATION WILL BE POSTED FOR PUBLIC VIEWING ON OGE'S WEBSITE.

1

 U.S. OFFICE OF GOVF.RNi\IF.NT ETHICS

Steven E. Winberg

Certification of Ethics Agreement Compliance
Qune 2017 version)

6.

Recustils

(Note: These
fattual stafe111eitt.r
demibe the
appo1i1tee's c111re11t
stains. They mi
not intended to
modifj ethics
agree111e11t
t'01J1111it111e11ts or
(,'t'Qate new_ rect1sa/
obliga/io11s.)

a. I am rec11si11gjiv111partic11/ar111a/le1:f in
1vhich I kfloJJ.J I have a personal or i1J(bt1ted
fl11a11cial i11tmst dtivctly and pndictably
affected l{y the tJJallu~ 1111/ess I hC1ve received a
waiver or qualify far a regulatory exenrptio11.

@Yes

QNo

b. I an1 rect1Si1Jgjiv111partic11!ar111atter.r in
JJJhich Cll!J far1JJer en1ployer or client I served in
the pastJ'ear is a party or represents a party,
1111/ess I have bee11 authorized under 5 C.F.R
§ 2635.502(d).

@Yes

QNo

QN/A

@Yes

QNo

QN/A

QYcs

@No

c. I an1 rec11si11gjiv1J1 partic11lar matters in

1J1hich (ll!J fanner employer or chCnt I served
in the /Jvo years prior to mJr appoint1J1e11t is a
par(J1 or represents a party, 111tless I have
received a 1vaiver 1111der Exu: Order 13770.
.

a. 1 received a waiverp11rs11a11t to 18 U.S.C
§ 208.

-- ..-- -----+ ---·-·- -·--- ._.. ____ ---- ---- ---·----·---------- -------

Date:
Financial interest:
lf yes, indic'lte the d:l.te of the W;1ivcr and
i11dic.1te £he ftnanciitl interest <·ovet·cd by the
\V;ttvcr.

7.

Waivers and
AutJ;iorizations

b. 1 received a 1vaiverp11rs11a11t to Executive
Order 13 770.

Qves
----------

-~-

------·-

@No
---------------~-----

---------·-·-·-··----

Date:
! f yes. indicate the d;1tc of the waiver ;uid the
subject of th1: waiver (i.e., applicible paragraph
of the ethic< pledge, parties, particular matters,
specific Issue ~u·cas, as appliciblc) .
.

Subject:

c. I receiued a11 a11thorizatio11 purs11a11t to

QYes

5 CFR § 2635.502(d).

@No

--------- --------------- ------·------------------------·.

Date:
If yes, indicatt' date of authorization and
identify the covered pcrson(s) as to whu1n rou
h;1ve bel'tl aurhol'izcJ (c.i-.o;., (orrner cn1pl()ycr,
fonlHT client, spouse's t'.01ploycr,
spouse's current client, etc.).

Covered person(s):

d. I received a 1vaiver p11rs11a11t to 5 C.F.R
§ 2635.503(<).

QYes
-----·~--

@No

-------------- ---------- ------------------------

Date:
Former employer or payer:
[ f y~·s. indicate the date of thl' waiver <tnd
i<lcnrify the fonncr c111ploycr or payl'r.

THIS CERTIFICATION WILL BE POSTED FOR PUBLIC VIEWING ON OGE'S WEBSITE.

2

 U$. OFFICE OF GOVERNi\IENT ETHICS

Steven E. Winberg

Ct'rtification of Ethics Agreement Compliance
Qunc 2017 version)

a. !fl 'vmmitted that I wo11/d

8.

fotjCit afl11anda/ interest or
Pt!Jin1eJ1t, unless it 1vas
received or accelerated p1ior to
my ass111nption ofthe duties
ofthe governn;eut position:

Payments,
Acceleratiorls,
or Divestitures
Required to be ..
Completed
Prior to
Entering
Goverrunent
Service

I received it (or it 1vas accelerated) prior to IJ?}
assumptioll oj'the duties oj'the position.

0

I received it (or it was accelerated) gf!n_· mJ'
assumption of the duties ef the position.

0

I f01faited it.

b. Financial interest or
payment at issue:

I have tvmpleted nry initial ethics briefing,
p11m1ant to 5 C.FR § 2638.305.
@Yes
9.

Requirements
for Regular
Appointees

II you an· a Speci;il Covcrrnnc11t l~inployt'C
(SCiE) or c.Ht'{T Fo!'l'ign Service ()flkcr (JiS()),
sdect N/A.

I have signed the ethics pledge p111r11ant to
ExeC11tive Order 13770.
@Yes

QN/A

If you are ;t SC E or l';\tt'Cl' !-'St) or rrevinuslr
signed the ikdp;t!, sdcct N/.\.
to be co1nplctcd

br ()GE

10.

to be co1npkted by ;tppointce

I a111compfying1vith these req11iren1e11ts as desoibed i11
the arfjace11t box.

Additional.
Ethics
Agreetnent
Re.quire1nents

QYes

In completing this form, CONSOL counsel informed me on February 1, 2018, that I was entitled to addlUonal company
stock based on a deferral election l made in 2007. Such stock is valued at considerably less than $5,000, but is not
payable to me until May 16, 2018. I advised DOE counsel that I would Immediately divest of these shares upon
receipt. I understand that ownership of these additional CONSOL Energy, Inc. shares, regrettably means I am not in
compliance with my ethics agreement.

11.
Comments of
Appointee

On February 6, 2018, I forfeited my rights to any and all outstanding CONSOL options, which were entiUed to me Jn
the future. On February 7, 2018, I sold the remaining CONSOL shares in my 401 (k) account. I understand that such
forfeiture should have been done on or before February 1, 2018.
I was confirmed by the Senate on November 2, 2017, but not sworn In to the Assistant Secretary of Fossil Energy
position until November 22, 2017. Therefore, I believed that I had 90 days from November 22, 2017, to complete the
sale of all energy-related assets.

Any intentionally false or misleading statetnent or response provided in this certification is a violation of la\v
punishable by a fine or imprisonment, or both, under 18 U.S.C. § 1001.

I mtijj that the injimnation
I have pmvided is <0mplete
a11d accurate.

1\ppointcc's Signature;

Date:

THIS CERTIFICATION WILL BE POSTED FOR PUBLIC VIEWING ON OGE'S WEBSITE.

3

 OGE STATEMENT REGARDING
CERTIFICATION OF ETHICS AGREEMENT COMPLIANCE
Senate Confirmed Presidential Appointee

Appointee’s
Information

Appointee’s Name:

Steven E. Winberg

Position Title:

Assistant Secretary for the Office of
Fossil Energy

Agency:

U.S. Department of Energy

Date Ethics Agreement Signed:

September 13, 2017

Date Confirmed:

November 2, 2017

Due Date for Certification of Ethics Agreement
Compliance:

February 7, 2018

Statement
As noted in section 11 of the Certification of Ethics Agreement Compliance, Assistant Secretary
Winberg was advised on February 1, 2018, that he was entitled to receive shares of CONSOL
stock pursuant to a deferral election he made in 2007. This arrangement was not addressed in the
original ethics agreement he signed on September 13, 2017, or in the nominee financial
disclosure report he filed.
Subsequent to being advised that he was entitled to the additional shares of CONSOL stock,
Assistant Secretary Winberg consulted with agency ethics officials and OGE regarding the
actions he would be required to take to address the arrangement. OGE acknowledges that
Assistant Secretary Winberg is working with appropriate officials to amend his ethics agreement
and nominee financial disclosure report. Assistant Secretary Winberg will be required to submit
another Certification of Ethics Agreement Compliance to reflect that he has fully complied with
his amended ethics agreement once all required actions have been taken.

Date of Statement: February 14, 2018

 U.S. OFFICE OF GOVERNMENT 
Certi?cation of Ethics Agreement Compliance

(lune 2017 version)

 

  

 

.

 

 

 

 

II a. Appointee?s Name:

to be completed by ?(113

Steven E. Winberg

 

b. Position Title:

to be by 

Assistant Secretary for the Office of Fossil Energy

 

  

c. Agency:

to be by 

US. Department of Energy

 

?gnfozi?ljla oil 

 

d. Date Ethics Agreement Signed:

to be completed by 

September 13, 2017

 

e. Date Con?rmed:

to be crm?tjmlert?d by 

November 2, 2017

 

f. Due Date for Certi?cation of Ethics

Agreement Compliance:

to be mmpieted by (.N'Hfi

February 7, 2018

 

I mmp/ez?ed at? eff-Vie z'es?guaz?z?am indicated in
30x ethic: cggreemem? awe I aytzr/aed t/Je datz'e;
I afay c'zmem? gayenmentpat?ie?.

Yes

.N0 

 

 

 

a. I have weep/mil ad da'veytz'z?m'e;

indicated a: at} ethics" agree/elem: I aim
understand Ibaz?I may ?of repm?e?m?e there
amt: dariig agy appointive?: wit/baa!

OGE it prior app/emf.

.Yes .NO 

 

.. b. I leape?ied aperz'od tramaatzaa repent; or

pen?edz?e immaterial; reports (0GB Form
2785]) Ia de?ate dye campfetz?aiz efdjexe

agreed 1990;: diaertitm?ex.

.Yes .No 

 

Filing Date(s) of OGE Form Report(s):
2/16? 8

 

If I have a managed meal/zit or me the .remz'eet

I [Jaye new-Zed 2/36
manager arpmy?m'azzcd {fr/23 faaz?ratiam?
z'ad?c?aa?ed in 7201 et/Jz'o' agreement. I )1 addition,

I am con?rming fa mazzifarpmebaaee.

Yes .No 

 

 

 

   

I eeaq?/Iied mid) air mama! abagafz'om
pendz?qg t/Je diaem?tme: warmed by 229! et/Jz'o?
agreement:

 

Yes

.N0 NXA

 

 

 

THIS CERTIFICATION WILL BE POSTED FOR PUBLIC VIEWING ON WEBSITE. 1

 

1.1.8. OFFICE OF GOVERNMENT UCS
Certi?cation of Ethics Agreement Compiiance

(lune 2017 version)

Steven E. Winberg

 

 

a. I am :eemiu?g?vm pm?ft'eedm? marten 
which I ?2an I have a Qemwa! er beamed
financial interest dizect?r emdpredz'embgl
eg?eefed E3: the walla/3 I bane received a
waiver or qyafz?t?vr a regedateyt exemption.

.Yes

.NO

 

   

deraiber?e 
appoefetee'e ?nite?;
mm Tee): are 
mi; z'e??mded f0 

b. I I?eezreieg?'oez parrz?adar matter; in
which aiyxjemzer or e?z'z'elzt I sewed 
the me-?Vyear it a er rw'emzt: a para,
Index; I have been caramelized wider 5' GER
j? 

I Yes

 

 

 

ez?dg?w??f?? .
ggmemnz?




   
   
 

 

 

 

 

c. I (we partake/er mailer: be
which my?mzer e?gbfeyer or eke?: I named
in fee twejeam p?er to :70; appeietmeez 211? at
Pafy or repeated; at pargy, ire/ex: I [Jaye
received a waiver widerExec. Order renewed a waz'eerpmuwant 208.

indicate the date of the waiver and
indicate the ?naneit? interest covered by the
waiver.

Yes

 

Date:

Financial interest:

 

    

 

ii?ienzagpns j;

  

b. I a to Executive
Ozder 13 770.

 

 

 

 

 

Date:
Eyes. indicate the date nfthe waiver and the Subject:
subject nf?the waiver (Len, upphcuhle paragraph
0 t? the ethics pledge, parties, pm'ticuiar matters,
speci?c issue areas, as appiieable}.

c. I received rm azre?bm'zaa?z'a puma/mar to 
CS 0

5 GER j? 2635t502{d)t . -

Date:

If yes? indicate date, of authorizatitm and
identify the covered as to whum you
have been nuthm?ized former emph'ayer,
Fm'mel? Client, spouse?s 

spouse?s current chem, etc).

Coveted person(s):

 

 

 

 

d. I received a to 5 GER
I 2635.503 

IFyes. indicate the delta of the waiver and
identify the. former empinyer m? payer.

 

 

Date:

 

Former employer or payer:

 

 

THIS CERTIFICATION WILL BE POSTED FOR PUBLIC VIEWING ON WEBSITE. 2

 

U.S. OFFICE OF 
Certi?cation of Ethics
(lune 2017 version}

EINMENT 
Agreement Compliance

Steven E. Winberg

 

    
  
    
  
 

??s?lst?i?oae
- or Debentures,

Requiem be .
.. Cemented
igeaqujis
Entering
Government

 

a. com/xiitrcd that I may/d
fw??z't a??alzridl interest or
payment, ray/m it 1m;
manned or to
my}! cy?tbe dm?ie:
aft/)3 30223112172312: position:

I waived if (or 212? was generated) gear to 1in
?max/2pm? offbe (Ix/liar ofz?be position.

 

I received it {or it ma: (reaf?rmed) after 123:
aria/2210:2077 M2356 (lyric: (Jr/1.9 position.

I ?r?z?fed if.

 

b. Financial intexest or
payment at issue:

 

 

  

I have Lump/emf 225} initial! ethics brizy?iitg,

. .. if. :0 5 CFR. ji? 2638.305.

 

Requuements 'i
waegular

5. Appointee

 

 

 

 

   
 
 
  

career or 
signed the pledge, select 

Yes Sl'weial Government Employee
(SCH rn.? cancer l?lt?il?L?lgt?l Service ('Jlrl'icer 
select 
I have :g'glzed the ethics pfedge partway: to
Executing Order 137 7 0. 
Yes 0 No A

 

 

 

Requirement

 

to be completed by (JOE

 

to be compiel?ed by appointee

I mmp?zz?rg with ?15m as described in
we ?new?; box.

Yes .No .NXA

 

 
  
  

Comment.

  

 

57; I was an employee at CONSOL Energy, Inc. from 2002 to 2014. As part
of my annual compensation package, CONSOL awarded a combination

- of cash bonus, CONSOL Energy stock, stock options, and restricted

stock units. In the process of complying with my ethics agreement, which
was executed on September 13, 2017, was informed by CONSOL that 
.. was entitled to additional deferred shares of company stock, which I will
omtee receive pursuant to company policy in May 2018. On March 12, 2018, 
noti?ed CONSOL that would immediately forfeit such stock.

Consequently, i no longer hold any financial interest in CONSOL Energy.

 

Any intentionally false or misleading statement or response provided in this certification is a Violation of law
punishable by a fine or imprisonment, or both, under 18 U.S.C. 1001.

 

 

I certg'?l tbat #36 information
I have pmw'ded z'a' cvzzipfere

and ace/(mic.

Appointee?s Signature:

Date:

 

 

 

 

zl/Zzl/G?

THIS CERTIFICATION WILL BE POSTED FOR PUBLIC VIEWING ON WEBSITE. 3