SEC Form 4 · accession 0001127602-18-001092

NACCO INDUSTRIES INC · NC

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

Reporting owner

Matthew M Rankin

Director · Other

Period of report

Dec 14, 2017

Accepted (ET)

Jan 4, 2018 · 4:12 pm EST

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^F1,F2,F3	Dec 14, 2017	G	81	—	A	9,348	I	By RAII
Class A Common Stock^F1,F2,F3	Dec 14, 2017	G	81	—	A	9,429	I	By RAII
Class A Common Stock^F2,F4	Dec 14, 2017	G	81	—	A	1,242	I	Trust/RAII/Child2
Class A Common Stock^F2,F4	Dec 14, 2017	G	81	—	A	1,390	I	Trust/RAII/Child1
Class A Common Stock^F1,F2,F3	Dec 14, 2017	G	163	—	D	9,266	I	By RAII
Class A Common Stock^F2,F4	Dec 14, 2017	G	163	—	A	1,553	I	Trust/RAII/Child1
Class A Common Stock^F1,F2,F3	Dec 14, 2017	G	163	—	D	9,103	I	By RAII
Class A Common Stock^F2,F4	Dec 14, 2017	G	163	—	A	1,405	I	Trust/RAII/Child2
Class A Common Stock^F2,F6	Jan 2, 2018	A	556	—	A	9,044	I	By Trust
Class A Common Stock^F7	holding	—	—		—	722	I	By Spouse
Class A Common Stock^F1,F8	holding	—	—		—	2,058	I	By RAII/Spouse
Class A Common Stock^F9	holding	—	—		—	645	I	Trust/Child1
Class A Common Stock^F1	holding	—	—		—	500	D
Class A Common Stock^F9	holding	—	—		—	563	I	Trust/Child2

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,F10,F6	—	Dec 14, 2017	G	227	A	—	—	Class A Common Stock	227	5,370	I

Explanation of responses

F1As 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.
F10Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates I, L.P., which is held in trust for the benefit of Reporting Person.
F2N/A
F3Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P .
F4Shares represent the Reporting Person's minor child's proportionate limited interests in shares held by Rankin Associates II, L.P. Shares held by Reporting Person as co-trustee with PNC Bank. Reporting Person disclaims beneficial ownership of all such shares.
F5Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
F6Held through a trust for the benefit of Reporting Person.
F7Held by Spouse. Reporting Person disclaims beneficial ownership of all such shares.
F8Represents 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.
F9Held by Trust for Reporting Person's minor child. Reporting Person and Reporting Person's brother, James T. Rankin are co-trustees of the trust. Reporting Person disclaims beneficial ownership of all such shares.