SEC Form 5 · accession 0001127602-17-005786
NACCO INDUSTRIES INC · NC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James T Rankin
Other
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 11:35 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 StockF1,F2 | Dec 22, 2016 | G | 199 | $0.00 | A | 1,309 | I | Trust/RAII/Child1 |
| Class A Common StockF1,F2 | Dec 22, 2016 | G | 199 | $0.00 | A | 1,161 | I | Trust/Child2/RAII |
| Class A Common StockF1,F3 | Dec 22, 2016 | G | 100 | $0.00 | A | 9,665 | I | By RAII |
| Class A Common StockF1,F2 | Dec 22, 2016 | G | 100 | $0.00 | A | 1,309 | I | Trust/RAII/Child1 |
| Class A Common StockF1,F2 | Dec 22, 2016 | G | 100 | $0.00 | A | 1,161 | I | Trust/Child2/RAII |
| Class A Common StockF1 | Dec 22, 2016 | G | 100 | $0.00 | A | 292 | I | As Custodian/Child1 |
| Class A Common StockF1,F4 | Dec 22, 2016 | G | 100 | $0.00 | A | 100 | I | By Assoc II/Child2 |
| Class A Common StockF5 | holding | — | — | — | 15,768 | I | Trust | |
| Class A Common StockF6 | holding | — | — | — | 862 | I | By Spouse/RAII | |
| Class A Common StockF7 | holding | — | — | — | 563 | I | By Spouse | |
| Class A Common StockF2 | holding | — | — | — | 645 | I | Trust/Child1 | |
| Class A Common StockF2 | holding | — | — | — | 563 | I | Tust/Child2 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1N/A
- F2Held through a trust for Reporting Person's minor niece/nephew. Reporting Person is co-trustee with his brother, Matthew M. Rankin of the trust. Reporting Person disclaims beneficial ownership of all such shares.
- F3Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
- F4Represents the Reporting Person's son's proportionate limited partnership interests in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of the son. Reporting Person disclaims beneficial ownership of all such shares.
- F5Held by Trust for the benefit of Reporting Person.
- F6Represents the Reporting Person's Spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
- F7By Spouse. 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.