SEC Form 4 · accession 0001127602-16-037927

NACCO INDUSTRIES INC · NC

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

Reporting owner

Corbin Rankin

Other

Period of report

Jan 22, 2016

Accepted (ET)

Jan 26, 2016 · 4:57 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	—	A	9,565	I	By Assoc II/Son 1
Class A Common Stock^F4,F1,F5	Jan 22, 2016	J	1	—	D	6	I	By Spouse (GP)
Class A Common Stock^F1	Jan 22, 2016	J	2,807	—	D	19,578	I	By Spouse
Class A Common Stock	holding	—	—		—	3,622	D
Class A Common Stock^F6	holding	—	—		—	1,843	I	By Assoc II
Class A Common Stock^F7	holding	—	—		—	500	I	By Son
Class A Common Stock^F8	holding	—	—		—	8,488	I	By Trust (Son1)
Class A Common Stock	holding	—	—		—	1,975	I	By Spouse
Class A Common Stock^F9	holding	—	—		—	7	I	By Spouse
Class A Common Stock^F10	holding	—	—		—	36,839	I	By Assoc II/Spouse
Class A Common Stock^F11	holding	—	—		—	53,085	I	By Spouse/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^F12,F1,F5	$0.00	Jan 22, 2016	J	1	A	—	—	Class A Common Stock	1	19	I
Class B Common Stock^F13,F1	—	Jan 22, 2016	J	2,807	A	—	—	Class A Common Stock	2,807	65,478	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^F1	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F11,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	92,873	92,873	I
Class B Common Stock^F14,F1	—	holding	—	—	—	—	—	Class A Common Stock	20,000	20,000	I
Class B Common Stock^F15,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	35,312	35,312	I

Explanation of responses

F1N/A
F10Represents 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.
F11Reporting Person's spouse serves as Trustee of a Trust for the benefit of Thomas T. Rankin. Reporting Person disclaims benefici al ownership of all such shares.
F12Acquisition of .8345 shares as a result of share swap.
F13Represents the Reporting Person's Spouse's proportionate limited parternship interest in shares held by Rankin Associates IV, L.P. Reporting Person disclaims beneficial ownership of all such shares.
F14Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.--------
F15Represents the Reporting Person's spouse's proportionate limited partnership interest in shares held by Rankin Associates I, L.P. Reporting Person disclaims beneficial ownership of all such shares.
F2Represents the Reporting Person's son'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 son. Reporting Person's spouse is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F3Class A shares were exchanged for Class B shares pursuant to the terms of the Amended and Restated Shareholders' Agreement dated September 28, 2012.
F4Disposition of .8345 shares a result of share swap.
F5GP. Represents Reporting Person's spouse's proportionate limited partnership interest in shares of Rankin Associates IV, L.P. held by the Trust for the benefit of Reporting Person's spouse, as general partner. Reporting Person disclaims beneficially ownership of all such shares.
F6Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F7By Son. Reporting Person disclaims beneficial ownership of all such shares.
F8Held by Trust, Reporting Person's spouse is Trustee for the benefit of Reporting Person's son. Reporting Person disclaims beneficial ownership of all such shares.
F9By Spouse. Reporting Person disclaims beneficial ownership of all such shares.