SEC Form 4 · accession 0001127602-16-035432

NACCO INDUSTRIES INC · NC

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

Reporting owner

Roger F Rankin

Other

Period of report

Dec 30, 2015

Accepted (ET)

Jan 4, 2016 · 4:30 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	291	—	D	33,578	I	By Assoc II
Class A Common Stock^F1,F3	Dec 29, 2015	G	291	—	A	17,543	I	By Assoc II/Daughter 1
Class A Common Stock^F1,F2	Dec 29, 2015	G	291	—	D	33,287	I	By Assoc II
Class A Common Stock^F1,F3	Dec 29, 2015	G	291	—	A	19,431	I	By Assoc II/Daughter 2
Class A Common Stock^F1,F3	Dec 29, 2015	G	145	—	A	17,688	I	By Assoc II/Daughter 1
Class A Common Stock^F1,F3	Dec 29, 2015	G	145	—	A	19,576	I	By Assoc II/Daughter 2
Class A Common Stock^F4,F5	Dec 30, 2015	P	77	$43.7879	A	4,572	I	By Spouse/Trust
Class A Common Stock^F4,F5	Dec 31, 2015	P	119	$43.593	A	4,691	I	By Spouse/Trust
Class A Common Stock^F6	holding	—	—		—	2,116	I	By Assoc II/Spouse
Class A Common Stock^F7	holding	—	—		—	2,046	I	By Trust (Daughter 2)
Class A Common Stock	holding	—	—		—	200	I	Reporting Person serves as Trustee for the Benefit of Elisabeth Rankin
Class A Common Stock^F7	holding	—	—		—	3,933	I	By Trust (Daughter 1)
Class A Common Stock	holding	—	—		—	200	I	Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock^F8	holding	—	—		—	6	I	By GP
Class A Common Stock^F9	holding	—	—		—	22,385	I	By RA4
Class A Common Stock^F10	holding	—	—		—	1,975	I	By RMI (Delaware)
Class A Common Stock^F11	holding	—	—		—	75,461	I	By Trust

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	75,504	75,504	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^F8,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	19	19	I
Class B Common Stock^F9,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	62,670	62,670	I
Class B Common Stock^F12,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	4,808	4,808	I
Class B Common Stock^F11,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	118,125	118,125	I

Explanation of responses

F1N/A
F10Represents the Reporting Person's proportionate interest in shares held by Rankin Management, Inc. ("RMI).
F11Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin.
F12Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.-------- -
F2Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F3Represents the Reporting Person's daughter's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. which is held in a trust for the benefit of the daughter. Reporting Person's spouse is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F4Purchases made as part of multiple share lots. Price represents average price.
F5Reporting Person's spouse serves as Trustee of a Trust for the benefit of Alison Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F6Represents 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.
F7Held by Trust, Reporting Person's Spouse is Co-Trustee for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial ownership of all such shares.
F8GP. Represents Reporting Person's proportionate limited partnership interest in shares of Rankin Associates IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.
F9(RAIV) Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.