SEC Form 4 · accession 0001127602-17-023446

NACCO INDUSTRIES INC · NC

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

Reporting owner

Officer — SrVP-Fin Treas & Chief Adm Off · Other

Period of report

Jul 7, 2017

Accepted (ET)

Jul 10, 2017 · 5:14 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 Stock^F2	Jul 7, 2017	J	9,628	—	D	0	I	to spouse by RAIV (A)
Class A Common Stock^F3	holding	—	—		—	8,048	I	By RAII/Child 1
Class A Common Stock^F4	holding	—	—		—	4,083	I	By Trust-Child 1
Class A Common Stock^F3	holding	—	—		—	8,204	I	By RAII/Child 2
Class A Common Stock^F4	holding	—	—		—	3,927	I	By Trust-Child 2
Class A Common Stock^F5	holding	—	—		—	12,303	I	By RAII/Spouse
Class A Common Stock^F6	holding	—	—		—	68,094	I	By Spouse/Trust
Class A Common Stock^F7	holding	—	—		—	2,800	I	By IRA
Class A Common Stock^F8	holding	—	—		—	7,471	I	By RAII
Class A Common Stock^F9	holding	—	—		—	63,638	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock^F2	—	Jul 7, 2017	J	9,628	A	—	—	Class A Common Stock	9,628	41,827	I
Class B Common Stock^F10,F2	—	holding	—	—	—	—	—	Class A Common Stock	69,458	69,458	I
Class B Common Stock^F6,F2	—	holding	—	—	—	—	—	Class A Common Stock	9,195	9,195	I

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.
F10Represents the Reporting Person's spouse's proportionate limited partnership interests in shares held by Rankin Associates I, L.P.-------
F2N/A
F3Represents 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.
F4Held 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.
F5Represents the Reporting Person's spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F6Held by Trust for the benefit of Reporting Person's Spouse. Reporting Person disclaims beneficial ownership of all such shares.
F7Held in an Individual Retirement Account for the benefit of the Reporting Person.
F8Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F9Reporting Person serves as Trustee of the J.C. Butler, Jr. Revocable Trust.