SEC Form 4 · accession 0001127602-17-026475

NACCO INDUSTRIES INC · NC

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

Reporting owner

Other

Period of report

Aug 23, 2017

Accepted (ET)

Aug 25, 2017 · 10:17 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	—	A	337,667	I	By Marital Trust/PNC
Class A Common Stock^F2,F3	Aug 23, 2017	J	19,973	—	A	357,640	I	By Marital Trust/PNC
Class A Common Stock	holding	—	—		—	2	I	Shares held in Trust: 2012 Taplin Annuity Trust #2
Class A Common Stock	holding	—	—		—	10,104	I	Proportionate membership interest in shares held by Abigail, LLC
Class A Common Stock^F4	holding	—	—		—	9,785	I	By Trust/GC#5
Class A Common Stock^F4	holding	—	—		—	9,785	I	By Trust/GC#4
Class A Common Stock^F4	holding	—	—		—	5,250	I	By Trust/GC#1
Class A Common Stock^F4	holding	—	—		—	12,649	I	By Trust/GC#2
Class A Common Stock^F4	holding	—	—		—	12,649	I	By Trust/GC#3
Class A Common Stock^F3	holding	—	—		—	62,470	I	BBT/Wells Fargo Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock^F2,F5	$0.00	Aug 23, 2017	J	30,829	D	—	—	Class A Common Stock	30,829	0	I
Class B Common Stock^F3,F2	$0.00	holding	—	—	—	—	—	Class A Common Stock	27,310	27,310	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.
F2N/A
F3Held by Trust, National City Bank and Beatrice B. Taplin, Co-Trustees, for the benefit of Beatrice B. Taplin.
F4Reporting Person serves as co-trustee with National City Bank of Trusts for the benefit of Reporting Person's grandchildren. Reporting Person disclaims beneficial ownership of all such shares.
F5Shares represent the Thomas E. Taplin Marital Trust FBO Beatrice B. Taplin under Agreement dated 1/21/1966 as amended and restated between Thomas E. Taplin and National City Bank. National City Bank and Beatrice B. Taplin, Trustees.