SEC Form 4 · accession 0001127602-16-037932

NACCO INDUSTRIES INC · NC

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

Reporting owner

Claiborne R Rankin

Other

Period of report

Jan 22, 2016

Accepted (ET)

Jan 26, 2016 · 5:01 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	39,316	I	By Assoc II
Class A Common Stock^F1,F3	Dec 29, 2015	G	145	—	A	10,286	I	By Assoc II/Son
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	39,171	I	By Assoc II
Class A Common Stock^F1,F3	Dec 29, 2015	G	145	—	A	13,286	I	By Assoc II/Daughter
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	39,026	I	By Assoc II
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	38,881	I	By Assoc II
Class A Common Stock^F1,F2	Dec 29, 2015	G	145	—	D	38,736	I	By Assoc II
Class A Common Stock^F1,F3	Dec 29, 2015	G	145	—	A	10,431	I	By Assoc II/Son
Class A Common Stock^F1,F3	Dec 29, 2015	G	145	—	A	13,431	I	By Assoc II/Daughter
Class A Common Stock^F5,F1,F6	Jan 22, 2016	J	1	—	D	6	I	By GP
Class A Common Stock^F1,F7	Jan 22, 2016	J	2,807	—	D	19,578	I	By RA4
Class A Common Stock^F8	holding	—	—		—	2,116	I	By Assoc II/Spouse
Class A Common Stock^F9	holding	—	—		—	2,360	I	By Spouse/Trust
Class A Common Stock^F10	holding	—	—		—	1,975	I	By RMI (Delaware)
Class A Common Stock^F11	holding	—	—		—	25,768	I	By Trust
Class A Common Stock^F12	holding	—	—		—	5,640	I	By Trust (Son)
Class A Common Stock^F12	holding	—	—		—	10,399	I	By Trust (Daughter)

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^F13,F1,F6	$0.00	Jan 22, 2016	J	1	A	—	—	Class A Common Stock	1	19	I
Class B Common Stock^F1,F7	$0.00	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	50,000	50,000	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^F14,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	20,312	20,312	I
Class B Common Stock^F11,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	97,312	97,312	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 Claiborne R. Rankin.
F12Held by Trust, Reporting Person is Co-Trustee for the benefit of Reporting Person's child. Reporting Person disclaims beneficial ownership of all such shares.
F13Acquisition of .8345 shares as a result of share swap.
F14Represents 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 child'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 child. Reporting Person is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F4Class A shares were exchanged for Class B shares pursuant to the terms of the Amended and Restated Shareholders' Agreement dated September 28, 2012.
F5Disposition of .8345 shares a result of share swap.
F6GP. Represents the 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.
F7RA4. Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
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.
F9Reporting Person's spouse serves as Trustee of a Trust for the benefit of Chloe O. Rankin. Reporting Person disclaims beneficial ownership of all such shares.