SEC Form 4 · accession 0001127602-16-037918

NACCO INDUSTRIES INC · NC

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

Reporting owner

Victoire G Rankin

Other

Period of report

Jan 22, 2016

Accepted (ET)

Jan 26, 2016 · 4:53 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	—	—		—	274,326	I	AMR - Main Trust - A
Class A Common Stock^F8	holding	—	—		—	753	I	AMR - RAII
Class A Common Stock^F9	holding	—	—		—	1,975	I	AMR - RMI (Delaware)
Class A Common Stock^F10	holding	—	—		—	21,286	I	By Spouse/Trust 2 (Sr.)
Class A Common Stock^F11	holding	—	—		—	13,600	I	AMR - Trust3 (GC)
Class A Common Stock^F12	holding	—	—		—	27,929	I	BTR - RAII
Class A Common Stock^F13	holding	—	—		—	14,313	I	BTR-Class A Trust
Class A Common Stock^F14	holding	—	—		—	2,116	I	VGR - RAII
Class A Common Stock	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,F16	—	Jan 22, 2016	J	1	A	—	—	Class A Common Stock	1	19	I
Class B Common Stock^F3,F17	$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^F18,F3	$0.00	holding	—	—	—	—	—	Class A Common Stock	14,322	14,322	I
Class B Common Stock^F19,F3	—	holding	—	—	—	—	—	Class A Common Stock	44,662	44,662	I
Class B Common Stock^F20,F3	$0.00	holding	—	—	—	—	—	Class A Common Stock	61,768	61,768	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

Explanation of responses

F1Class A shares were exchanged for Class B shares pursuant to terms of the Amended and Restated Stockholders' Agreement dated September 28, 2012.
F10Reporting Person's spouse serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin, Sr. Reporting Person d isclaims beneficial ownership of all such shares.
F11Reporting Person's spouse serves as Trustee of Trusts for the benefit of each of grantor's grandchildren. Reporting Person disclaims beneficial onwership of all such shares.
F12BTR RA2-Represents the proportionate limited partnership interest in shares held by Rankin Associates II, L.P. Reporting Person's spouse serves as the Trustee of the Trust which is held for the benefit of Bruce T Rankin. Reporting person disclaims beneficial ownership of all such shares.
F13Reporting Person's spouse serves as Trustee of Trusts for the benefit of Bruce T Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F14Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P.
F15Acquisition of .8345 shares as a result of share swap.
F16Represents Reporting Person's spouse's proportionate limited partnership interest in shares held by Rankin Associates IV. Reporting Person disclaims beneficial ownership of all such shares.
F17represents the Reporting Person's spouse's proportionately limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person disclaims any beneficial ownership.
F18Represents Reporting Person's spouse's proportionate limited partnership interest in shares held by Rankin Associates I, L.P. R eporting Person disclaims beneficial ownership of all such shares.
F19Reporting Person's spouse serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr. Reporting Person disclaims bene ficial ownership of all such shares.
F2Disposition of .8345 shares a result of share swap.
F20Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a trust for the benefit of Bruce T. Rankin. Reporting Person's spouse serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F3N/A
F4Represents the proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person's spouse serves as the Trustee of the Trust which is held for the benefit of Clara LT Rankin. Reporting person disclaims beneficial ownership of all such shares.
F5BTR RA4-Represents the proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person's spouse serves as the Trustee of the Trust which is held for the benefit of 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's spouse. Reporting Person disclaims beneficial ownership of all such shares.
F7Reporting Person's spouse serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr. Reporting Person disclaims beneficial ownership of all such shares.
F8Represents 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.
F9Represents the Reporting Person's spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI"). Reporting P erson disclaims beneficial ownership of all such shares.