SEC Form 5 · accession 0001127602-17-005802

NACCO INDUSTRIES INC · NC

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

Reporting owner

Thomas T Rankin

Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 11:46 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	36,439	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	36,439	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	36,439	I	By Assoc II
Class A Common Stock^F1,F2	Dec 22, 2016	G	100	$0.00	D	36,439	I	By Assoc II
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	$0.00	D	9,267	I	By AssocII/Son1
Class A Common Stock^F1,F3	Dec 22, 2016	G	199	$0.00	D	9,267	I	By AssocII/Son1
Class A Common Stock^F1,F3	Dec 22, 2016	G	100	$0.00	A	9,267	I	By AssocII/Son1
Class A Common Stock^F4	holding	—	—		—	1,843	I	By Assoc II/Spouse
Class A Common Stock^F5	holding	—	—		—	3,622	I	By Spouse
Class A Common Stock^F6	holding	—	—		—	7	D
Class A Common Stock^F7	holding	—	—		—	6	I	By GP
Class A Common Stock^F8	holding	—	—		—	19,578	I	By RA4
Class A Common Stock^F9	holding	—	—		—	1,975	I	By RMI (Delaware)
Class A Common Stock^F10	holding	—	—		—	53,085	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	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^F11,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	35,312	35,312	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	92,873	92,873	I
Class B Common Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	20,000	20,000	I

Explanation of responses

F1N/A
F10Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. Rankin.
F11Represents 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 son's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. which was held by Reporting Person as Co-Trustee of trust for benefit of Reporting Person's son. 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.
F5By Spouse. Reporting Person disclaims beneficial ownership of all such shares.
F6As 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.
F7(GP)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.
F8(RAIV)Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F9Represents the Reporting Person's proportionate limited partnership interest in shares of Rankin Associates II, L.P. held by Rankin Management, Inc. (RMI), as general partner. 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.