SEC Form 5 · accession 0001127602-17-005804
NACCO INDUSTRIES INC · NC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Caroline T Ruschell
Other
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 11:48 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 | Apr 19, 2016 | G | 148 | $0.00 | D | 53,077 | I | By Trust 1 |
| Class A Common StockF3 | holding | — | — | — | 100 | I | By Trust2 |
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 StockF1 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 21,570 | 21,570 | D |
Explanation of responses
- F1N/A
- F2Shares are held in an irrevocable trust of which Reporting Person is Trustee, for the benefit of Reporting Person.
- F3Ngaio T. Lowry Trust U/A Dtd 08/26/1998 FBO Caroline T Ruschell.
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.