SEC Form 4 · accession 0001127602-17-026473

NACCO INDUSTRIES INC · NC

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

Reporting owner

Alfred M Et Al Rankin

Officer — CEO · Director · Other

Period of report

Aug 23, 2017

Accepted (ET)

Aug 25, 2017 · 10:16 am 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	Aug 23, 2017	J	10,856	—	D	230,617	I	AMR Main Trust(A)
Class A Common Stock^F2,F3	Aug 23, 2017	J	19,973	—	D	210,644	I	AMR Main Trust(A)
Class A Common Stock^F4	holding	—	—		—	14,160	I	AMR - IRA
Class A Common Stock^F5	holding	—	—		—	1,277	I	AMR - RAII
Class A Common Stock^F6	holding	—	—		—	1,975	I	AMR - RMI (Delaware)
Class A Common Stock^F7	holding	—	—		—	21,286	I	AMR - Trust2 (SR)
Class A Common Stock^F8	holding	—	—		—	9,600	I	AMR - Trust3 (Grandchildren)
Class A Common Stock^F9	holding	—	—		—	26,929	I	BTR - RAII
Class A Common Stock	holding	—	—		—	14,313	I	BTR - Class A Trust
Class A Common Stock^F10	holding	—	—		—	34,936	I	VGR - Trust

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	—	Aug 23, 2017	J	30,829	A	—	—	Class A Common Stock	30,829	134,209	I
Class B Common Stock^F11,F2	—	holding	—	—	—	—	—	Class A Common Stock	14,322	14,322	I
Class B Common Stock^F12,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	1,404	1,404	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	25	25	I
Class B Common Stock^F13,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	59,675	59,675	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^F14,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	61,768	61,768	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.
F10Reporting Person's spouse serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims benefic ial ownership of all such shares.
F11Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a qualified annuity interest trust for the benefit of Reporting Person.
F12Represents Reporting Person's Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F13(BTR) Reporting Person serves as Trustee of brother's trust. The Trust includes proportionate limited partnership interest in shares held by Rankin Associates I, II and IV L.P. and Class A and B Common Stock; all of which are held in a Trust for the benefit of Reporting Person's brother, Bruce T. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F14Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held is a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F2N/A
F3Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
F4Held in an Individual Retirement Account for the benefit of the Reporting Person.
F5Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P.
F6Represents 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.
F7Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin. Reporting Person disclaims bene ficial ownership of all such shares.
F8Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren. Reporting Person disclaims beneficial ownership of all such shares.
F9Represents the proportionate limited partnership interest in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.