SEC Form 4 · accession 0001127602-17-023440
NACCO INDUSTRIES INC · NC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clara R Williams
Other
Period of report
Jul 7, 2017
Accepted (ET)
Jul 10, 2017 · 5:10 pm EDT
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 StockF2 | Jul 7, 2017 | J | 9,628 | — | D | 0 | I | by RAIV (A) |
| Class A Common StockF3 | holding | — | — | — | 12,303 | I | By Assoc II | |
| Class A Common StockF4 | holding | — | — | — | 68,094 | I | By Trust | |
| Class A Common StockF5 | holding | — | — | — | 8,902 | I | By Spouse | |
| Class A Common StockF6 | holding | — | — | — | 6,736 | I | By AssocII/Spouse | |
| Class A Common StockF7 | holding | — | — | — | 9,577 | I | By AssocII/Daughter 2 | |
| Class A Common StockF8 | holding | — | — | — | 2,553 | I | By Trust/Child2 | |
| Class A Common StockF7 | holding | — | — | — | 8,202 | I | By Assoc II/Daughter | |
| Class A Common StockF8 | holding | — | — | — | 3,927 | I | Trust/Child1 |
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 StockF2 | — | Jul 7, 2017 | J | 9,628 | A | — | — | Class A Common Stock | 9,628 | 41,827 | I |
| Class B Common StockF9,F2 | — | holding | — | — | — | — | — | Class A Common Stock | 69,458 | 69,458 | I |
| Class B Common StockF4,F2 | — | holding | — | — | — | — | — | Class A Common Stock | 9,195 | 9,195 | I |
Explanation of responses
- F1Class A shares were exchanged for Class B shares pursuant to the terms of the Second Amendment to Amended and Restated Stockholders' Agreement dated February 14, 2017.
- F2N/A
- F3Represents the Reporting Person's proportionate limited partnership interest in shares held by rankin Associates II, L.P.
- F4Held by trust for the benefit of Reporting Person.
- F5By Spouse. Reporting Person disclaims beneficial ownership of all such shares.
- F6Represents 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.
- F7Represents the Reporting Person's daughter's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. Reporting Person disclaims beneficial ownership of all such shares.
- F8Held by Trust, Reporting Person's spouse is Trustee, for the benefit of Reporting Person's minor child. Reporting Person disclaims beneficial ownership of all such shares.
- F9RAI-Represents Reporting Person's limited partnership interest in shares held by Rankin Associates I, L.P.