SEC Form 5 · accession 0001127602-17-005814

NACCO INDUSTRIES INC · NC

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

Reporting owner

Alfred M Et Al Rankin

Officer — CEO · Director · Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 12:05 pm 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^F2,F3	Oct 7, 2016	J	1,600	$0.00	D	9,600	I	AMR - Trust3 (Grandchildren)
Class A Common Stock^F2,F3	Oct 7, 2016	J	2,400	$0.00	D	9,600	I	AMR - Trust3 (Grandchildren)
Class A Common Stock^F2,F4	Oct 27, 2016	G	2,116	$0.00	D	0	I	VGR - RAII
Class A Common Stock^F2,F5	Oct 27, 2016	G	2,116	$0.00	A	1,277	I	AMR - RAII
Class A Common Stock^F2,F6	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - RAII
Class A Common Stock^F2,F6	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - RAII
Class A Common Stock^F2,F6	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - RAII
Class A Common Stock^F2,F6	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - RAII
Class A Common Stock^F2,F6	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - RAII
Class A Common Stock^F2,F6	Dec 22, 2016	G	100	$0.00	D	26,929	I	BTR - RAII
Class A Common Stock^F7	holding	—	—		—	14,160	I	AMR - IRA
Class A Common Stock^F8	holding	—	—		—	323	I	AMR - RAIV
Class A Common Stock^F9	holding	—	—		—	1,975	I	AMR - RMI (Delaware)
Class A Common Stock^F10	holding	—	—		—	21,286	I	AMR - Trust2 (SR)
Class A Common Stock^F11	holding	—	—		—	271,711	I	AMR Main Trust(A)
Class A Common Stock	holding	—	—		—	6	I	AMR RAIV GP
Class A Common Stock^F12	holding	—	—		—	13,736	I	BTR - RAIV
Class A Common Stock	holding	—	—		—	14,313	I	BTR - Class A Trust
Class A Common Stock^F13	holding	—	—		—	34,936	I	VGR - 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^F14,F2	—	holding	—	—	—	—	—	Class A Common Stock	14,322	14,322	I
Class B Common Stock^F8,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	1,081	1,081	I
Class B Common Stock^F11,F2	—	holding	—	—	—	—	—	Class A Common Stock	44,662	44,662	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	19	19	I
Class B Common Stock^F12,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	45,939	45,939	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F15,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	61,768	61,768	I

Explanation of responses

F1Shares transferred from the Clara T. Rankin Irrevocable Trust f/b Grandchildren u/a/d 12/28/76 of which Reporting Person is Trustee, into the recipient's personal account. Recipient became entitled to the outright distribution of the principal of the trust when he turned 30 years old.
F10Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin. Reporting Person disclaims bene ficial ownership of all such shares.
F11Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
F12(BTR) Reporting Person serves as Trustee of brother's trust. The Trust includes proportionate limited partnership interest in shares held by Rankin Associates I, II and IV L.P. and Class A and B Common Stock; all of which are held in a Trust for the benefit of Reporting Person's brother, Bruce T. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F13Reporting Person's spouse serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims benefic ial ownership of all such shares.
F14Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a qualified annuity interest trust for the benefit of Reporting Person.
F15Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held is a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F2N/A
F3Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren. 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.
F5Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P.
F6Represents the proportionate limited partnership interest in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F7Held in an Individual Retirement Account for the benefit of the Reporting Person.
F8Represents 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.

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.