SEC Form 5 · accession 0001127602-17-005790

NACCO INDUSTRIES INC · NC

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

Reporting owner

Lynne T Rankin

Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 11:39 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	A	1,309	I	Trust/RAII/Child1
Class A Common Stock^F1,F2	Dec 22, 2016	G	199	$0.00	A	1,161	I	Trust/RAII/Child2
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	9,665	I	By Spouse/RAII
Class A Common Stock^F1,F4	Dec 22, 2016	G	100	$0.00	A	100	I	By Assoc II/Child2
Class A Common Stock^F1	Dec 22, 2016	G	100	$0.00	A	292	I	By Custodian/Child1
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	A	1,309	I	Trust/RAII/Child1
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	A	1,161	I	Trust/RAII/Child2
Class A Common Stock^F5	holding	—	—		—	15,768	I	By Spouse/Trust
Class A Common Stock	holding	—	—		—	563	D
Class A Common Stock^F6	holding	—	—		—	862	I	By RAII
Class A Common Stock^F7	holding	—	—		—	645	I	Spouse/Trust/Child1
Class A Common Stock^F7	holding	—	—		—	563	I	Spouse/Trust/Child2

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1N/A
F2Reporting Person's Spouse serves as co-trustee with his brother, Matthew Rankin of a trust for the benefit of Reporting Person's minor niece/nephew. Shares represent the minor child's proportionate limited interests in shares held by Rankin Associates II, L.P. Reporting Person disclaims beneficial ownership of all such shares.
F3Represents Reporting Person's Spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P. Reporting Person disclaims beneficial ownership of all such shares.
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's Spouse. Reporting Person disclaims beneficial ownership of all such shares.
F6Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
F7Held by Trust for the benefit of Reporting Person's minor niece/nephew. Reporting Person's Spouse is co-trustee of the trust with his brother, Matthew M. Rankin. Reporting Person disclaims beneficial ownership of all such shares.

Remarks

*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.