SEC Form 4 · accession 0001127602-18-006303
NACCO INDUSTRIES INC · NC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Butler Jr.
Officer — President & CEO · Director · Other
Period of report
Feb 14, 2018
Accepted (ET)
Feb 15, 2018 · 3:01 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 StockF2,F3 | Feb 14, 2018 | A | 42,185 | — | A | 105,823 | I | By Trust |
| Class A Common StockF2,F3 | Feb 14, 2018 | F | 5,504 | — | D | 100,319 | I | By Trust |
| Class A Common StockF5 | holding | — | — | — | 8,211 | I | By RAII/Child 1 | |
| Class A Common StockF6 | holding | — | — | — | 4,083 | I | By Trust-Child 1 | |
| Class A Common StockF5 | holding | — | — | — | 8,367 | I | By RAII/Child 2 | |
| Class A Common StockF6 | holding | — | — | — | 3,927 | I | By Trust-Child 2 | |
| Class A Common StockF7 | holding | — | — | — | 12,058 | I | By RAII/Spouse | |
| Class A Common StockF8 | holding | — | — | — | 68,094 | I | By Spouse/Trust | |
| Class A Common StockF9 | holding | — | — | — | 2,800 | I | By IRA | |
| Class A Common StockF10 | holding | — | — | — | 7,634 | I | By RAII |
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 StockF11,F2 | — | holding | — | — | — | — | — | Class A Common Stock | 69,458 | 69,458 | I |
| Class B Common StockF2 | — | holding | — | — | — | — | — | Class A Common Stock | 41,827 | 41,827 | I |
| Class B Common StockF8,F2 | — | holding | — | — | — | — | — | Class A Common Stock | 9,195 | 9,195 | I |
Explanation of responses
- F1Shares of Class A Common Stock awarded to the Reporting Person under the Company's Executive Long-Term Incentive Compensation Plan.
- F10Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
- F11Represents the Reporting Person's spouse's proportionate limited partnership interests in shares held by Rankin Associates I, L.P.
- F2N/A
- F3Reporting Person serves as Trustee of the J.C. Butler, Jr. Revocable Trust.
- F4Cashless Exercise-Award shares that Reporting Person surrendered to Company in order to satisfy his/her tax withholding obligations with respect to his/her Long-Term Incentive Plan Stock Award.
- F5Represents the Reporting Person's child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P .. Reporting Person disclaims beneficial ownership of all such shares.
- F6Held by Trust, John C. Butler, Jr., Trustee, for the benefit of Reporting Person's minor child. Reporting Person disclaims beneficial ownership of all such shares.
- F7Represents the Reporting Person's spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
- F8Held by Trust for the benefit of Reporting Person's Spouse. Reporting Person disclaims beneficial ownership of all such shares.
- F9Held in an Individual Retirement Account for the benefit of the Reporting Person.