SEC Form 5 · accession 0001127602-17-005706

NACCO INDUSTRIES INC · NC

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

Reporting owner

John C Butler Jr.

Officer — SrVP-Fin Treas & Chief Adm Off · Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 10:48 am 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	$0.00	A	8,048	I	By RAII/Child 1
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	$0.00	D	12,303	I	By RAII/Spouse
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	$0.00	D	12,303	I	By RAII/Spouse
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	$0.00	A	8,204	I	By RAII/Child 2
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	12,303	I	By RAII/Spouse
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	$0.00	A	12,303	I	By RAII/Spouse
Class A Common Stock^F1,F4	Dec 22, 2016	G	199	$0.00	A	7,471	I	By RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	$0.00	A	8,048	I	By RAII/Child 1
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	$0.00	A	8,204	I	By RAII/Child 2
Class A Common Stock^F5	holding	—	—		—	4,083	I	By Trust-Child 1
Class A Common Stock^F5	holding	—	—		—	3,927	I	By Trust-Child 2
Class A Common Stock	holding	—	—		—	9,628	I	to spouse by RAIV (A)
Class A Common Stock^F6	holding	—	—		—	68,094	I	By Spouse/Trust
Class A Common Stock^F7	holding	—	—		—	2,800	I	By IRA
Class A Common Stock^F8	holding	—	—		—	44,928	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^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^F6,F1	—	holding	—	—	—	—	—	Class A Common Stock	9,195	9,195	I

Explanation of responses

F1N/A
F2Represents the Reporting Person's child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P .. Reporting Person disclaims beneficial ownership of all such shares.
F3Represents the Reporting Person's spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F4Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F5Held by Trust, John C. Butler, Jr., Trustee, for the benefit of Reporting Person's minor child. Reporting Person disclaims beneficial ownership of all such shares.
F6Held by Trust for the benefit of Reporting Person's Spouse. Reporting Person disclaims beneficial ownership of all such shares.
F7Held in an Individual Retirement Account for the benefit of the Reporting Person.
F8Reporting Person serves as Trustee of the J.C. Butler, Jr. Revocable Trust.
F9Represents the Reporting Person's spouse's proportionate limited partnership interests in shares held by Rankin Associates I, L.P.-------

Remarks

"Remark on Insider relationship to Issuer" 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.