SEC Form 5 · accession 0001127602-18-005961

NACCO INDUSTRIES INC · NC

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

Reporting owner

Roger F Rankin

Other

Period of report

Dec 31, 2017

Accepted (ET)

Feb 14, 2018 · 1:32 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	Dec 14, 2017	G	163	$0.00	A	244	I	By Assoc II/Daughter 1
Class A Common Stock^F1,F3	Dec 14, 2017	G	163	$0.00	D	4,693	I	By Assoc II
Class A Common Stock^F1,F4	Dec 14, 2017	G	163	$0.00	A	15,176	I	By Assoc II/Daughter 2
Class A Common Stock^F1,F3	Dec 14, 2017	G	163	$0.00	D	4,693	I	By Assoc II
Class A Common Stock^F1,F2	Dec 14, 2017	G	81	$0.00	A	244	I	By Assoc II/Daughter 1
Class A Common Stock^F1,F4	Dec 14, 2017	G	81	$0.00	A	15,176	I	By Assoc II/Daughter 2
Class A Common Stock^F5	holding	—	—		—	29,986	I	By Assoc II/Spouse
Class A Common Stock^F6	holding	—	—		—	6,613	I	By Spouse/Trust
Class A Common Stock^F7	holding	—	—		—	2,046	I	By Trust (Daughter 2)
Class A Common Stock	holding	—	—		—	200	I	Reporting Person serves as Trustee for the Benefit of Elisabeth Rankin
Class A Common Stock^F8	holding	—	—		—	4,944	I	By Assoc II/Daughter 2
Class A Common Stock^F7	holding	—	—		—	4,133	I	By Trust (Daughter 1)
Class A Common Stock^F4	holding	—	—		—	14,931	I	By Assoc II/Daughter 1
Class A Common Stock^F8	holding	—	—		—	3,056	I	By Assoc II/Daughter 1
Class A Common Stock^F9	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^F1	—	Dec 14, 2017	G	227	A	—	—	Class A Common Stock	227	5,370	I
Class B Common Stock^F1	—	Dec 14, 2017	G	227	A	—	—	Class A Common Stock	227	5,370	I
Class B Common Stock^F10,F1	—	holding	—	—	—	—	—	Class A Common Stock	75,504	75,504	I
Class B Common Stock^F11,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	25	25	I
Class B Common Stock^F12,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	85,056	85,056	I
Class B Common Stock^F13,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	4,808	4,808	I
Class B Common Stock^F14,F1	$0.00	holding	—	—	—	—	—	Class A Common Stock	193,586	193,586	I

Explanation of responses

F1N/A
F10Represents the Reporting Person's spouse's proportionate limited partnership interest in shares held by Rankin Associates I, L.P. Reporting Person disclaims beneficial ownership of all such shares.
F11GP. Represents 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.
F12(RAIV) Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F13Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.
F14Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin.
F2Represents the Reporting Person's daughter's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. which is held in a trust dated August 15, 2012 for the benefit of the daughter. Reporting Person's spouse is the trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F3Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
F4Represents the Reporting Person's daughter's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. which is held in a trust dated December 18, 1997 for the benefit of the daughter. Reporting Person's spouse is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
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 Alison Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F7Held by Trust, Reporting Person's Spouse is Co-Trustee for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial ownership of all such shares.
F8Represents the Reporting Person's daughter's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. which is held in a trust dated September 11, 2000 for the benefit of the daughter. Reporting Person's spouse is the trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F9Represents the Reporting Person's proportionate interest in shares held by Rankin Management, Inc. ("RMI).