SEC Form 4 · accession 0001127602-16-037914

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

Jan 22, 2016

Accepted (ET)

Jan 26, 2016 · 4:50 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^F2,F3	Jan 22, 2016	J	1	—	D	6	I	AMR RAIV GP
Class A Common Stock^F3,F4	Jan 22, 2016	J	46	—	D	323	I	AMR - RAIV
Class A Common Stock^F3,F5	Jan 22, 2016	J	1,969	—	D	13,736	I	BTR - RAIV
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	—	—		—	1,975	I	AMR - RMI (Delaware)
Class A Common Stock^F9	holding	—	—		—	21,286	I	AMR - Trust2 (SR)
Class A Common Stock^F10	holding	—	—		—	13,600	I	AMR - Trust3 (Grandchildren)
Class A Common Stock^F11	holding	—	—		—	274,326	I	AMR Main Trust(A)
Class A Common Stock^F12	holding	—	—		—	27,929	I	BTR - RAII
Class A Common Stock	holding	—	—		—	14,313	I	BTR - Class A Trust
Class A Common Stock^F13	holding	—	—		—	2,116	I	VGR - RAII
Class A Common Stock^F14	holding	—	—		—	34,936	I	VGR - 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^F15,F3	—	Jan 22, 2016	J	1	A	—	—	Class A Common Stock	1	19	I
Class B Common Stock^F3,F4	$0.00	Jan 22, 2016	J	46	A	—	—	Class A Common Stock	46	1,081	I
Class B Common Stock^F3,F5	$0.00	Jan 22, 2016	J	1,969	A	—	—	Class A Common Stock	1,969	45,939	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	14,322	14,322	I
Class B Common Stock^F11,F3	—	holding	—	—	—	—	—	Class A Common Stock	44,662	44,662	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F16,F3	$0.00	holding	—	—	—	—	—	Class A Common Stock	61,768	61,768	I

Explanation of responses

F1Class A shares were exchanged for Class B shares pursuant to the terms of the Amended and Restated Stockholders' Agreement dated September 28, 2012.
F10Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren. Reporting Person disclaims beneficial ownership of all such shares.
F11Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
F12Represents 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.
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.
F14Reporting 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.
F15Acquisition of .8345 shares as a result of share swap.
F16Represents 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.
F2Disposition of .8345 shares a result of share swap.
F3N/A
F4Represents Reporting Person's Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F5(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.
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 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.
F9Reporting 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.