SEC Form 5 · accession 0001127602-17-005729

NACCO INDUSTRIES INC · NC

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

Reporting owner

Beatrice B Taplin

Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 11:07 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	Jun 24, 2016	G	16,950	$0.00	D	62,470	I	BBT/Wells Fargo Trust
Class A Common Stock^F1,F2	Dec 29, 2016	G	11,250	$0.00	D	62,470	I	BBT/Wells Fargo Trust
Class A Common Stock^F1,F2	Dec 16, 2016	G	54,750	$0.00	D	62,470	I	BBT/Wells Fargo Trust
Class A Common Stock^F1	Mar 1, 2016	J	1,962	$0.00	D	2	I	Shares held in Trust: 2012 Taplin Annuity Trust #2
Class A Common Stock^F1,F2	Jul 21, 2016	G	780	$0.00	D	62,470	I	BBT/Wells Fargo Trust
Class A Common Stock^F1	Mar 1, 2016	J	1,962	$0.00	D	2	I	Shares held in Trust: 2012 Taplin Annuity Trust #2
Class A Common Stock^F1	Mar 1, 2016	J	1,962	$0.00	D	2	I	Shares held in Trust: 2012 Taplin Annuity Trust #2
Class A Common Stock^F1	Mar 1, 2016	J	1,962	$0.00	D	2	I	Shares held in Trust: 2012 Taplin Annuity Trust #2
Class A Common Stock	holding	—	—		—	10,104	I	Proportionate membership interest in shares held by Abigail, LLC
Class A Common Stock^F4	holding	—	—		—	29,550	I	Taplin Annuity Trust#1
Class A Common Stock^F2	holding	—	—		—	47,640	I	By Marital Trust/PNC
Class A Common Stock^F5	holding	—	—		—	5,250	I	By Trust/GC#5
Class A Common Stock^F5	holding	—	—		—	5,250	I	By Trust/GC#4
Class A Common Stock^F5	holding	—	—		—	5,250	I	By Trust/GC#1
Class A Common Stock^F5	holding	—	—		—	5,250	I	By Trust/GC#2
Class A Common Stock^F5	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 Stock^F6,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	310,000	310,000	I
Class B Common Stock^F2,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	27,310	27,310	I

Explanation of responses

F1N/A
F2Held by Trust, National City Bank and Beatrice B. Taplin, Co-Trustees, for the benefit of Beatrice B. Taplin.
F3Shares distributed from GRAT as per the terms of the GRAT.
F4Shares held in Trust: 2011 Taplin Annuity Trust #1.
F5Reporting 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.
F6Shares 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.

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.