SEC Form 5 · accession 0001127602-17-005771

NACCO INDUSTRIES INC · NC

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

Reporting owner

Claiborne R Rankin

Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 11:27 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	37,738	I	By Assoc II
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	10,631	I	By Assoc II/Son
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	37,738	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	37,738	I	By Assoc II
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	13,631	I	By Assoc II/Daughter
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	$0.00	D	37,738	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	41	$0.00	D	37,738	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	$0.00	D	37,738	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	$0.00	D	37,738	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	60	$0.00	D	37,738	I	By Assoc II
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	10,631	I	By Assoc II/Son
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	13,631	I	By Assoc II/Daughter
Class A Common Stock^F4	holding	—	—		—	2,116	I	By Assoc II/Spouse
Class A Common Stock^F5	holding	—	—		—	2,360	I	By Spouse/Trust
Class A Common Stock^F6	holding	—	—		—	6	I	By GP
Class A Common Stock^F7	holding	—	—		—	19,578	I	By RA4
Class A Common Stock^F8	holding	—	—		—	1,975	I	By RMI (Delaware)
Class A Common Stock^F9	holding	—	—		—	25,768	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^F1	—	holding	—	—	—	—	—	Class A Common Stock	50,000	50,000	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^F1	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F6,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	19	19	I
Class B Common Stock^F7,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	20,312	20,312	I
Class B Common Stock^F9,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	97,312	97,312	I

Explanation of responses

F1N/A
F10Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.-------- -
F2Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F3Represents the Reporting Person's child'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 child. Reporting Person is the co-trustee of the Trust. 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.
F5Reporting Person's spouse serves as Trustee of a Trust for the benefit of Chloe O. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F6GP. Represents the Reporting Person's proportionate limited partnership interest in shares of Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.
F7RA4. Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F8Represents the Reporting Person's proportionate interest in shares held by Rankin Management, Inc. ("RMI").
F9Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. 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.