SEC Form 5/A · accession 0001127602-16-055658
NACCO INDUSTRIES INC · NC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
Beatrice B Taplin
Other
Period of report
Dec 31, 2013
Accepted (ET)
Jun 16, 2016 · 2:16 pm EDT
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 StockF2,F3 | Jan 4, 2013 | G | 3,100 | $0.00 | D | 149,973 | I | BBT/Wells Fargo Trust |
| Class A Common StockF2,F3 | Aug 22, 2013 | G | 1,650 | $0.00 | D | 148,323 | I | BBT/Wells Fargo Trust |
| Class A Common StockF2,F3 | Aug 22, 2013 | G | 12,300 | $0.00 | D | 136,023 | I | BBT/Wells Fargo Trust |
| Class A Common StockF5,F2,F3 | Nov 25, 2013 | J | 11,200 | $0.00 | A | 147,223 | I | BBT/Wells Fargo Trust |
| Class A Common StockF5,F2,F6 | Nov 25, 2013 | J | 11,200 | $0.00 | D | 29,550 | I | Taplin Annuity Trust#1 |
| Class A Common StockF2,F3 | Dec 27, 2013 | G | 430 | $0.00 | D | 146,793 | I | BBT/Wells Fargo Trust |
| Class A Common Stock | holding | — | — | — | 31,500 | I | Shares held in Trust: 2012 Taplin Annuity Trust #2 | |
| Class A Common StockF3 | holding | — | — | — | 91,640 | I | By Marital Trust/PNC | |
| Class A Common StockF7 | holding | — | — | — | 5,250 | I | By Trust/GC#5 | |
| Class A Common StockF7 | holding | — | — | — | 5,250 | I | By Trust/GC#4 | |
| Class A Common StockF7 | holding | — | — | — | 5,250 | I | By Trust/GC#1 | |
| Class A Common StockF7 | holding | — | — | — | 5,250 | I | By Trust/GC#2 | |
| Class A Common StockF7 | holding | — | — | — | 5,250 | I | By Trust/GC#3 |
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 StockF8,F2 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 310,000 | 310,000 | I |
| Class B Common StockF3,F2 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 27,310 | 27,310 | I |
Explanation of responses
- F1Original Form 5 inadvertently failed to report gift.
- F2N/A
- F3Held by Trust, National City Bank and Beatrice B. Taplin, Co-Trustees, for the benefit of Beatrice B. Taplin.
- F4Transfer from one trust to another
- F5Transfer from trust account at PNC Bank to trust account at Wells Fargo. Both accounts are held in a trust for the benefit of Reporting Person.
- F6Shares held in Trust: 2011 Taplin Annuity Trust #1.
- F7Reporting Person serves as co-trustee with National City Bank of Trusts for the benefit of Reporting Person's grandchildren. Reporting Person disclaims beneficially ownership of all such shares.
- F8Shares represent the Thomas E. Taplin Marital Trust FBO Beatrice B. Taplin under Agreement dated 1/21/1966 as amended and restated between Thomas E. Taplin and National City Bank. National City Bank and Beatrice B. Taplin, Trustees.