SEC Form 4 · accession 0001127602-17-023444
NACCO INDUSTRIES INC · NC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Beatrice B Taplin
Other
Period of report
Feb 8, 2017
Accepted (ET)
Jul 10, 2017 · 5:13 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 | Feb 8, 2017 | J | 5,682 | — | D | 23,868 | I | Taplin Annuity Trust#1 |
| Class A Common StockF2,F3 | Feb 8, 2017 | J | 7,399 | — | D | 16,469 | I | Taplin Annuity Trust#1 |
| Class A Common StockF2,F4 | Feb 8, 2017 | J | 7,399 | — | A | 12,649 | I | By Trust/GC#3 |
| Class A Common StockF2,F3 | Feb 8, 2017 | J | 7,399 | — | D | 9,070 | I | Taplin Annuity Trust#1 |
| Class A Common StockF2,F4 | Feb 8, 2017 | J | 7,399 | — | A | 12,649 | I | By Trust/GC#2 |
| Class A Common StockF2,F3 | Feb 8, 2017 | J | 4,535 | — | D | 4,535 | I | Taplin Annuity Trust#1 |
| Class A Common StockF2,F4 | Feb 8, 2017 | J | 4,535 | — | A | 9,785 | I | By Trust/GC#4 |
| Class A Common StockF2,F3 | Feb 8, 2017 | J | 4,535 | — | D | 0 | I | Taplin Annuity Trust#1 |
| Class A Common StockF2,F4 | Feb 8, 2017 | J | 4,535 | — | A | 9,785 | I | By Trust/GC#5 |
| Class A Common StockF2,F6 | Jul 7, 2017 | J | 52,920 | — | A | 100,560 | I | By Marital Trust/PNC |
| Class A Common StockF2,F6 | Jul 7, 2017 | J | 75,461 | — | A | 176,021 | I | By Marital Trust/PNC |
| Class A Common StockF2,F6 | Jul 7, 2017 | J | 92,072 | — | A | 268,093 | I | By Marital Trust/PNC |
| Class A Common StockF2,F6 | Jul 7, 2017 | J | 58,718 | — | A | 326,811 | I | By Marital Trust/PNC |
| Class A Common Stock | holding | — | — | — | 2 | I | Shares held in Trust: 2012 Taplin Annuity Trust #2 | |
| Class A Common Stock | holding | — | — | — | 10,104 | I | Proportionate membership interest in shares held by Abigail, LLC | |
| Class A Common StockF6 | holding | — | — | — | 62,470 | I | BBT/Wells Fargo Trust | |
| Class A Common StockF4 | holding | — | — | — | 5,250 | I | By Trust/GC#1 |
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,F7 | $0.00 | Jul 7, 2017 | J | 279,171 | D | — | — | Class A Common Stock | 279,171 | 30,829 | I |
| Class B Common StockF6,F2 | $0.00 | holding | — | — | — | — | — | Class A Common Stock | 27,310 | 27,310 | I |
Explanation of responses
- F1Shares distributed from GRAT as per the terms of the GRAT.
- F2N/A
- F3Shares held in Trust: 2011 Taplin Annuity Trust #1.
- F4Reporting Person serves as co-trustee with National City Bank of Trusts for the benefit of Reporting Person's grandchildren. Reporting Person disclaims beneficial ownership of all such shares.
- F5Class 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.
- F6Held by Trust, National City Bank and Beatrice B. Taplin, Co-Trustees, for the benefit of Beatrice B. Taplin.
- F7Shares represent the Thomas E. Taplin Marital Trust FBO Beatrice B. Taplin under Agreement dated 1/21/1966 as amended and restated between Thomas E. Taplin and National City Bank. National City Bank and Beatrice B. Taplin, Trustees.