SEC Form 4 · accession 0001127602-17-006272

NACCO INDUSTRIES INC · NC

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

Reporting owner

Helen Rankin Butler

Other

Period of report

Feb 13, 2017

Accepted (ET)

Feb 15, 2017 · 3:56 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	Feb 13, 2017	A	22,096	—	A	67,024	I	By Spouse/Trust
Class A Common Stock^F2,F3	Feb 13, 2017	F	3,386	—	D	63,638	I	By Spouse/Trust
Class A Common Stock^F5	holding	—	—		—	8,048	I	By RAII/Child 1
Class A Common Stock^F6	holding	—	—		—	4,083	I	By Trust-Child 1
Class A Common Stock^F5	holding	—	—		—	8,204	I	By RAII/Child 2
Class A Common Stock^F6	holding	—	—		—	3,927	I	By Trust-Child 2
Class A Common Stock^F7	holding	—	—		—	12,303	I	By RAII
Class A Common Stock^F8	holding	—	—		—	9,628	I	by RAIV
Class A Common Stock^F9	holding	—	—		—	68,094	I	By Trust
Class A Common Stock^F10	holding	—	—		—	2,800	I	By Spouse/IRA
Class A Common Stock^F11	holding	—	—		—	7,471	I	By RAII/Spouse

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^F12,F2	—	holding	—	—	—	—	—	Class A Common Stock	69,458	69,458	I
Class B Common Stock^F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	32,199	32,199	I
Class B Common Stock^F9,F2	—	holding	—	—	—	—	—	Class A Common Stock	9,195	9,195	I

Explanation of responses

F1Shares of Class A Common Stock awarded to the Reporting Person's spouse under the Company's Executive Long-Term Incentive Compensation Plan.
F10Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse. Reporting Person disclaims beneficial ownership of all such shares.
F11Represents the 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.
F12RAI-Represents Reporting Peron's limited partnership interest in shares held by Rankin Associates I, L.P.
F2N/A
F3Reporting Person's spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust. Reporting Person disclaims all beneficial ownership of all such shares.
F4Cashless Exercise-Award shares that Reporting Person's Spouse surrendered to Company in order to satisfy his tax withholding obligations with respect to his Long-Term Incentive Plan Stock Award.
F5Represents the Reporting Person's child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P .. Reporting Person disclaims beneficial ownership of all such shares.
F6Held by Trust, John C. Butler, Jr., Trustee, for the benefit of Reporting Person's minor child. Reporting Person disclaims beneficial ownership of all such shares.
F7Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F8Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates IV, L.P.
F9Held by Trust for the benefit of Reporting Person.

Remarks

"Remark on Insider relationship to Issuer" 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.