SEC Form 4 · accession 0001127602-17-023448

NACCO INDUSTRIES INC · NC

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

Reporting owner

Other

Period of report

Jul 7, 2017

Accepted (ET)

Jul 10, 2017 · 5:16 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,F3	Jul 7, 2017	J	9,628	—	D	0	I	by RAIV
Class A Common Stock^F4	holding	—	—		—	8,048	I	By RAII/Child 1
Class A Common Stock^F5	holding	—	—		—	4,083	I	By Trust-Child 1
Class A Common Stock^F4	holding	—	—		—	8,204	I	By RAII/Child 2
Class A Common Stock^F5	holding	—	—		—	3,927	I	By Trust-Child 2
Class A Common Stock^F6	holding	—	—		—	12,303	I	By RAII
Class A Common Stock^F7	holding	—	—		—	68,094	I	By Trust
Class A Common Stock^F8	holding	—	—		—	2,800	I	By Spouse/IRA
Class A Common Stock^F9	holding	—	—		—	7,471	I	By RAII/Spouse
Class A Common Stock^F10	holding	—	—		—	63,638	I	By Spouse/Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock^F2	$0.00	Jul 7, 2017	J	9,628	A	—	—	Class A Common Stock	9,628	41,827	I
Class B Common Stock^F11,F2	—	holding	—	—	—	—	—	Class A Common Stock	69,458	69,458	I
Class B Common Stock^F7,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.
F10Reporting Person's spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust. Reporting Person disclaims all beneficial ownership of all such shares.
F11RAI-Represents Reporting Peron's limited partnership interest in shares held by Rankin Associates I, L.P.
F2N/A
F3Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates IV, L.P.
F4Represents 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.
F5Held 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.
F6Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F7Held by Trust for the benefit of Reporting Person.
F8Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse. Reporting Person disclaims beneficial ownership of all such shares.
F9Represents 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.