SEC Form 4 · accession 0001127602-17-023450

NACCO INDUSTRIES INC · NC

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

Reporting owner

Thomas T Rankin

Other

Period of report

Jul 7, 2017

Accepted (ET)

Jul 10, 2017 · 5:18 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	52,920	—	D	165	I	By Trust
Class A Common Stock^F2,F4	Jul 7, 2017	J	6	—	D	0	I	By GP
Class A Common Stock^F2,F5	Jul 7, 2017	J	19,578	—	D	0	I	By RA4
Class A Common Stock^F6	holding	—	—		—	1,843	I	By Assoc II/Spouse
Class A Common Stock^F7	holding	—	—		—	3,622	I	By Spouse
Class A Common Stock^F8	holding	—	—		—	9,267	I	By AssocII/Son1
Class A Common Stock^F9	holding	—	—		—	7	D
Class A Common Stock^F10	holding	—	—		—	36,439	I	By Assoc II
Class A Common Stock^F11	holding	—	—		—	1,975	I	By RMI (Delaware)

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 Stock^F2,F4	$0.00	Jul 7, 2017	J	6	A	—	—	Class A Common Stock	6	25	I
Class B Common Stock^F2,F5	$0.00	Jul 7, 2017	J	19,578	A	—	—	Class A Common Stock	19,578	85,056	I
Class B Common Stock^F2,F3	$0.00	Jul 7, 2017	J	52,920	A	—	—	Class A Common Stock	52,920	145,793	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	5,143	5,143	I
Class B Common Stock^F12,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	35,312	35,312	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	20,000	20,000	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.
F10Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F11Represents the Reporting Person's proportionate limited partnership interest in shares of Rankin Associates II, L.P. held by Rankin Management, Inc. (RMI), as general partner. Reporting Person disclaims beneficial ownership of all such shares.
F12Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.-------- -
F2N/A
F3Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. Rankin.
F4(GP)Represents the Reporting Person's proportionate limited partnership interest in shares of Rankin Associates IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.
F5(RAIV)Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
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.
F7By Spouse. Reporting Person disclaims beneficial ownership of all such shares.
F8Represents the Reporting Person's son's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. which was held by Reporting Person as Co-Trustee of trust for benefit of Reporting Person's son. Reporting Person disclaims beneficial ownership of all such shares.
F9As a member of a "group" deemed to own more than 10% of an equity security as a result of being a party to a Stockholders' Agreement, dated as of March 15, 1990, beneficially owned by each of the signatories to such agreement (the "Agreement"), the Reporting Person disclaims beneficial ownership of any such shares of Stock owned by any other signatory to the Agreement.