SEC Form 4 · accession 0001127602-15-000193
NACCO INDUSTRIES INC · NC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Taplin
Director · Other
Period of report
Jan 1, 2015
Accepted (ET)
Jan 2, 2015 · 4:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000789933
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2 | Jan 1, 2015 | A | 306 | — | A | 15,354 | D | |
| Class A Common StockF2 | Dec 12, 2014 | G | 83 | — | D | 15,048 | D | |
| Class A Common StockF2 | Dec 9, 2014 | G | 83 | — | D | 15,131 | D | |
| Class A Common StockF2 | Dec 9, 2014 | G | 83 | — | D | 15,214 | D | |
| Class A Common StockF3 | holding | — | — | — | 100 | I | Trust2 | |
| Class A Common StockF4 | holding | — | — | — | 12,000 | I | Trust (MET) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF2 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 15,883 | 15,883 | D |
Explanation of responses
- F1Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
- F2N/A
- F3Shares held in a trust. Ngaio T. Lowry Trust U/A Dtd 08/26/1998 FBO David F. Taplin.
- F4Reporting Person serves as co-trustee with his step-sister, of a revocable trust held for the benefit of Reporting Person's step-mother. Reporting Person disclaims beneficial ownership of all such shares
Remarks
"Remark on Insider Relationship" - As a member of a "group" deemed to own more than 10% of an equity security as a result of being a party to a Stockholders' Agreement, dated as of March 15, 1990, beneficially owned by each of the signatories to such agreement (the "Agreement", the Reporting Person disclaims beneficial ownership of any such shares of Stock owned by any other signatory to the Agreement.