SEC Form 5 · accession 0001127602-17-005758

NACCO INDUSTRIES INC · NC

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

Reporting owner

Bruce T Rankin

Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 11:20 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	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - MAIN TRUST RAII
Class A Common Stock^F3	holding	—	—		—	13,736	I	BTR - RAIV
Class A Common Stock^F4	holding	—	—		—	14,313	I	BTR Main Trust - Class A

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^F5,F1	—	holding	—	—	—	—	—	Class A Common Stock	61,768	61,768	I
Class B Common Stock^F3,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	45,939	45,939	I

Explanation of responses

F1N/A
F2Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of Bruce T. Rankin. Reporting Person's brother serves as the Trustee of the Trust.
F3RA4-Represents the Reporting Person's proportionate limited partnership interest in shares of Rankin Assicates IV, L.P.
F4Held by Trust for the benefit of Reporting Person.
F5Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a trust for the benefit of Bruce T. Rankin.

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.