SEC Form 4 · accession 0001127602-16-035419

NACCO INDUSTRIES INC · NC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Alfred M Et Al Rankin

Officer — CEO · Director · Other

Period of report

Dec 30, 2015

Accepted (ET)

Jan 4, 2016 · 4:25 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 Stock^F1,F2	Dec 29, 2015	G	145	—	D	29,234	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	29,089	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	28,944	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	28,799	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	28,654	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	28,509	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	28,364	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	28,219	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	28,074	I	BTR - RAII
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	27,929	I	BTR - RAII
Class A Common Stock^F3,F4	Dec 30, 2015	P	310	$43.7879	A	266,171	I	AMR Main Trust(A)
Class A Common Stock^F3	Dec 30, 2015	P	310	$43.7879	A	6,158	I	BTR - Class A Trust
Class A Common Stock^F3,F5	Dec 30, 2015	P	310	$43.7879	A	26,781	I	VGR - Trust
Class A Common Stock^F3,F4	Dec 31, 2015	P	473	$43.593	A	266,644	I	AMR Main Trust(A)
Class A Common Stock^F3	Dec 31, 2015	P	473	$43.593	A	6,631	I	BTR - Class A Trust
Class A Common Stock^F3,F5	Dec 31, 2015	P	473	$43.593	A	27,254	I	VGR - Trust
Class A Common Stock^F6	holding	—	—		—	14,160	I	AMR - IRA
Class A Common Stock^F7	holding	—	—		—	753	I	AMR - RAII
Class A Common Stock^F8	holding	—	—		—	369	I	AMR - RAIV
Class A Common Stock^F9	holding	—	—		—	1,975	I	AMR - RMI (Delaware)
Class A Common Stock^F10	holding	—	—		—	21,286	I	AMR - Trust2 (SR)
Class A Common Stock^F11	holding	—	—		—	13,600	I	AMR - Trust3 (Grandchildren)
Class A Common Stock	holding	—	—		—	6	I	AMR RAIV GP
Class A Common Stock^F12	holding	—	—		—	15,705	I	BTR - RAIV
Class A Common Stock^F13	holding	—	—		—	2,116	I	VGR - RAII

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 Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	14,322	14,322	I
Class B Common Stock^F8,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	1,035	1,035	I
Class B Common Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	19	19	I
Class B Common Stock^F12,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	43,969	43,969	I
Class B Common Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F14,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	61,768	61,768	I
Class B Common Stock^F4,F1	—	holding	—	—	—	—	—	Class A Common Stock	44,662	44,662	I

Explanation of responses

F1N/A
F10Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin. Reporting Person disclaims bene ficial ownership of all such shares.
F11Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren. Reporting Person disclaims beneficial ownership of all such shares.
F12(BTR) Reporting Person serves as Trustee of brother's trust. The Trust includes proportionate limited partnership interest in shares held by Rankin Associates I, II and IV L.P. and Class A and B Common Stock; all of which are held in a Trust for the benefit of Reporting Person's brother, Bruce T. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F13Represents the Reporting Person's spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P .. Reporting Person disclaims beneficial ownership of all such shares.
F14Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held is a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F2Represents the proportionate limited partnership interest in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F3Purchases made as part of multiple share lots. Price represents average price.
F4Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
F5Reporting Person's spouse serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims benefic ial ownership of all such shares.
F6Held in an Individual Retirement Account for the benefit of the Reporting Person.
F7Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P.
F8Represents Reporting Person's Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F9Represents the Reporting Person's proportionate limited partnership interest in shares of Rankin Associates II, L.P. held by Rankin Management, Inc. ("RMI"), as general partner.