SEC Form 5 · accession 0001127602-17-005747

NACCO INDUSTRIES INC · NC

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

Reporting owner

Alison A Rankin

Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 11:14 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	D	5,019	I	By Assoc II/Spouse
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	$0.00	A	17,987	I	By Assoc II/Daughter 1
Class A Common Stock^F1,F2	Nov 4, 2016	G	27,870	$0.00	D	5,019	I	By Assoc II/Spouse
Class A Common Stock^F1,F4	Nov 4, 2016	G	27,870	$0.00	A	29,986	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	$0.00	D	5,019	I	By Assoc II/Spouse
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	$0.00	A	19,875	I	By Assoc II/Daughter 2
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	17,987	I	By Assoc II/Daughter 1
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	19,875	I	By Assoc II/Daughter 2
Class A Common Stock^F5	holding	—	—		—	6,613	I	By Trust
Class A Common Stock^F6	holding	—	—		—	2,046	I	By Trust (Daughter 2)
Class A Common Stock	holding	—	—		—	200	I	Reporting Person's spouse serves as Trustee for the benefit of Elisabeth Rankin
Class A Common Stock^F6	holding	—	—		—	3,933	I	By Trust (Daughter 1)
Class A Common Stock	holding	—	—		—	200	I	Reporting Person's spouse serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock^F7	holding	—	—		—	6	I	By Spouse (GP)
Class A Common Stock^F8	holding	—	—		—	19,578	I	By Spouse (RA4)
Class A Common Stock^F9	holding	—	—		—	1,975	I	By Spouse/RMI (Delaware)
Class A Common Stock^F10	holding	—	—		—	75,461	I	By Spouse/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^F11,F1	—	holding	—	—	—	—	—	Class A Common Stock	75,504	75,504	I
Class B Common Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F7,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	19	19	I
Class B Common Stock^F8,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	65,478	65,478	I
Class B Common Stock^F10,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	118,125	118,125	I
Class B Common Stock^F12,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	4,808	4,808	I

Explanation of responses

F1N/A
F10Reporting Person's spouse serves as Trustee of a Trust for the benefit of Roger F. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F11Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates I, L.P.
F12Represents the Reporting Person's spouse proportionate limited partnership interest in shares held by Rankin Associates I, L.P. Reporting Person disclaims beneficial ownership of all such shares.
F2Represents 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.
F3Represents 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 is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F4Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F5Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin.
F6Held by Trust, Reporting Person is Co-Trustee for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial ownership of all such shares.
F7GP-Represents Reporting Person's spouse's proportionate limited partnership interest in shares of Rankin Associates IV, L.P. held by the Trust for the benefit of Reporting Person's spouse, as general partner. Reporting Person disclaims beneficial ownership of all such shares.
F8(RA4) Represents Reporting Person's Spouse's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person disclaims beneficial ownership of all such shares.
F9Represents the Reporting Person's spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI"). Reporting Person disclaims beneficial ownership of all such shares.

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.