SEC Form 4 · accession 0001127602-17-001112

NACCO INDUSTRIES INC · NC

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

Reporting owner

Clara R Williams

Other

Period of report

Dec 22, 2016

Accepted (ET)

Jan 5, 2017 · 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^F1,F2	Dec 22, 2016	G	199	—	D	12,203	I	By Assoc II
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	—	A	8,003	I	By Assoc II/Daughter
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	—	D	12,004	I	By Assoc II
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	—	A	9,378	I	By AssocII/Daughter 2
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	—	A	12,104	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	—	A	12,303	I	By Assoc II
Class A Common Stock^F1,F4	Dec 22, 2016	G	199	—	A	6,736	I	By AssocII/Spouse
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	—	A	8,202	I	By Assoc II/Daughter
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	—	A	9,577	I	By AssocII/Daughter 2
Class A Common Stock^F1,F6	Jan 3, 2017	A	243	—	A	8,292	I	By Spouse
Class A Common Stock	holding	—	—		—	9,628	I	by RAIV (A)
Class A Common Stock^F7	holding	—	—		—	68,094	I	By Trust
Class A Common Stock^F8	holding	—	—		—	2,553	I	By Trust/Child2
Class A Common Stock^F8	holding	—	—		—	3,927	I	Trust/Child1

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^F9,F1	—	holding	—	—	—	—	—	Class A Common Stock	69,458	69,458	I
Class B Common Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	32,199	32,199	I
Class B Common Stock^F7,F1	—	holding	—	—	—	—	—	Class A Common Stock	9,195	9,195	I

Explanation of responses

F1N/A
F2Represents the Reporting Person's proportionate limited partnership interest in shares held by rankin Associates II, L.P.
F3Represents the Reporting Person's daughter's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. Reporting Person disclaims beneficial ownership of all such shares.
F4Represents 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.
F5Spouse's shares of Class A Common Stock awarded to the Reporting Person's spouse as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan
F6By Spouse. Reporting Person disclaims beneficial ownership of all such shares.
F7Held by trust for the benefit of Reporting Person.
F8Held by Trust, Reporting Person's spouse is Trustee, for the benefit of Reporting Person's minor child. Reporting Person disclaims beneficial ownership of all such shares.
F9RAI-Represents Reporting Person's limited partnership interest in shares held by Rankin Associates I, L.P.

Remarks

"Remark on Insider Relationship" - As a member of a "group" deemed to own more than 10% of an equity security as a result of being a party to a Stockholders' Agreement, dated as of March 15, 1990, beneficially owned by each of the signatories to such agreement (the "Agreement", the Reporting Person disclaims beneficial ownership of any such shares of Stock owned by any other signatory to the Agreement.