SEC Form 4 · accession 0001127602-17-023442
NACCO INDUSTRIES INC · NC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce T Rankin
Other
Period of report
Jul 7, 2017
Accepted (ET)
Jul 10, 2017 · 5:11 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,F3 | Jul 7, 2017 | J | 13,736 | — | D | 0 | I | BTR - RAIV |
| Class A Common StockF4 | holding | — | — | — | 14,313 | I | BTR Main Trust - Class A | |
| Class A Common StockF5 | holding | — | — | — | 26,929 | I | BTR - MAIN TRUST RAII |
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,F3 | $0.00 | Jul 7, 2017 | J | 13,736 | A | — | — | Class A Common Stock | 13,736 | 59,675 | I |
| Class B Common StockF6,F2 | — | holding | — | — | — | — | — | Class A Common Stock | 61,768 | 61,768 | 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
- F3RA4-Represents the Reporting Person's proportionate limited partnership interest in shares of Rankin Assicates IV, L.P.
- F4Held by Trust for the benefit of Reporting Person.
- F5Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of Bruce T. Rankin. Reporting Person's brother serves as the Trustee of the Trust.
- F6Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a trust for the benefit of Bruce T. Rankin.