SEC Form 4 · accession 0001127602-16-037938

NACCO INDUSTRIES INC · NC

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

Reporting owner

Roger F Rankin

Other

Period of report

Jan 22, 2016

Accepted (ET)

Jan 26, 2016 · 5:04 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,F4	Jan 22, 2016	J	1	—	D	6	I	By GP
Class A Common Stock^F3,F5	Jan 22, 2016	J	2,807	—	D	19,578	I	By RA4
Class A Common Stock^F6	holding	—	—		—	2,116	I	By Assoc II/Spouse
Class A Common Stock^F7	holding	—	—		—	6,613	I	By Spouse/Trust
Class A Common Stock^F8	holding	—	—		—	19,576	I	By Assoc II/Daughter 2
Class A Common Stock^F9	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^F8	holding	—	—		—	17,688	I	By Assoc II/Daughter 1
Class A Common Stock^F9	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^F10	holding	—	—		—	33,287	I	By Assoc II
Class A Common Stock^F11	holding	—	—		—	1,975	I	By RMI (Delaware)
Class A Common Stock^F12	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^F13,F3,F4	$0.00	Jan 22, 2016	J	1	A	—	—	Class A Common Stock	1	19	I
Class B Common Stock^F3,F5	$0.00	Jan 22, 2016	J	2,807	A	—	—	Class A Common Stock	2,807	65,478	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	75,504	75,504	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^F14,F3	$0.00	holding	—	—	—	—	—	Class A Common Stock	4,808	4,808	I
Class B Common Stock^F12,F3	$0.00	holding	—	—	—	—	—	Class A Common Stock	118,125	118,125	I

Explanation of responses

F1Class A shares were exchanged for Class B shares pursuant to the terms of the Amended and restated Shareholders' Agreement dated September 28, 2012.
F10Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F11Represents the Reporting Person's proportionate interest in shares held by Rankin Management, Inc. ("RMI).
F12Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin.
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.-------- -
F2Disposition of .8345 shares a result of share swap.
F3N/A
F4GP. 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.
F5(RAIV) Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
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.
F7Reporting Person's spouse serves as Trustee of a Trust for the benefit of Alison Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F8Represents 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.
F9Held 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.