SEC Form 4 · accession 0001127602-17-023598

NACCO INDUSTRIES INC · NC

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

Reporting owner

Claiborne R Rankin

Other

Period of report

Jul 7, 2017

Accepted (ET)

Jul 14, 2017 · 2:22 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	6	—	D	0	I	By GP
Class A Common Stock^F2,F4	Jul 7, 2017	J	19,578	—	D	0	I	By RA4
Class A Common Stock^F5	holding	—	—		—	2,116	I	By Assoc II/Spouse
Class A Common Stock^F6	holding	—	—		—	2,360	I	By Spouse/Trust
Class A Common Stock^F7	holding	—	—		—	37,738	I	By Assoc II
Class A Common Stock^F8	holding	—	—		—	1,975	I	By RMI (Delaware)
Class A Common Stock^F9	holding	—	—		—	25,768	I	By Trust
Class A Common Stock^F10	holding	—	—		—	10,631	I	By Assoc II/Son
Class A Common Stock^F10	holding	—	—		—	13,631	I	By Assoc II/Daughter

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,F3	$0.00	Jul 7, 2017	J	6	A	—	—	Class A Common Stock	6	25	I
Class B Common Stock^F2,F4	$0.00	Jul 7, 2017	J	19,578	A	—	—	Class A Common Stock	19,578	85,056	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	50,000	50,000	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^F11,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	20,312	20,312	I
Class B Common Stock^F9,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	97,312	97,312	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 child's proportionate limited partnership interest in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of the child. Reporting Person is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F11Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.-------- -
F2N/A
F3GP. 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.
F4RA4. Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F5Represents 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.
F6Reporting Person's spouse serves as Trustee of a Trust for the benefit of Chloe O. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F7Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
F8Represents the Reporting Person's proportionate interest in shares held by Rankin Management, Inc. ("RMI").
F9Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin.