Statement of Changes in Beneficial Ownership (4)
11 July 2017 - 7:23AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
RANKIN ALISON A
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2. Issuer Name
and
Ticker or Trading Symbol
NACCO INDUSTRIES INC
[
NC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
Member of a group
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(Last)
(First)
(Middle)
NACCO INDUSTRIES, INC., 5875 LANDERBROOK DRIVE, STE. 220
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/7/2017
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(Street)
MAYFIELD HEIGHTS, OH 44124
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock
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7/7/2017
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J
(1)
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V
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75461
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D
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(2)
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0
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I
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By Spouse/Trust
(3)
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Class A Common Stock
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7/7/2017
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J
(1)
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V
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6
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D
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(2)
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0
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I
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By Spouse (GP)
(4)
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Class A Common Stock
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7/7/2017
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J
(1)
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V
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19578
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D
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(2)
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0
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I
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By Spouse (RA4)
(5)
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Class A Common Stock
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29986
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I
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By Assoc II
(6)
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Class A Common Stock
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6613
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I
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By Trust
(7)
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Class A Common Stock
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19875
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I
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By Assoc II/Daughter 2
(8)
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Class A Common Stock
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2046
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I
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By Trust (Daughter 2)
(9)
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Class A Common Stock
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200
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I
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Reporting Person's spouse serves as Trustee for the benefit of Elisabeth Rankin
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Class A Common Stock
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17987
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I
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By Assoc II/Daughter 1
(8)
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Class A Common Stock
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3933
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I
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By Trust (Daughter 1)
(9)
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Class A Common Stock
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200
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I
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Reporting Person's spouse serves as Trustee for the benefit of A. Farnham Rankin
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Class A Common Stock
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5019
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I
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By Assoc II/Spouse
(10)
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Class A Common Stock
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1975
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I
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By Spouse/RMI (Delaware)
(11)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Class B Common Stock
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$0
(2)
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7/7/2017
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J
(1)
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V
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6
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(2)
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(2)
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Class A Common Stock
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6
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(2)
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25
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I
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By GP
(4)
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Class B Common Stock
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$0
(2)
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7/7/2017
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J
(1)
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V
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19578
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(2)
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(2)
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Class A Common Stock
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19578
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(2)
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85056
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I
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By Spouse (RA4)
(5)
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Class B Common Stock
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$0
(2)
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7/7/2017
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J
(1)
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V
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75461
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(2)
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(2)
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Class A Common Stock
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75461
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(2)
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193586
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I
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By Spouse/Trust
(3)
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Class B Common Stock
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(2)
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(2)
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(2)
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Class A Common Stock
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75504
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75504
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I
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By Assoc I
(12)
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Class B Common Stock
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(2)
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(2)
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(2)
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Class A Common Stock
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5143
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5143
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I
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Reporting person's spouse serves as trustee of BTR 2021 GST Trust for the benefit of Anne F. Rankin
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Class B Common Stock
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(2)
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(2)
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(2)
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Class A Common Stock
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5143
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5143
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I
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Reporting person's spouse serves as trustee of BTR 2012 GST Trust for benefit of Elisabeth Rankin
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Class B Common Stock
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$0
(2)
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(2)
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(2)
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Class A Common Stock
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4808
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4808
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I
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By Assoc I/Spouse
(13)
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Explanation of Responses:
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(1)
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Class 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.
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(2)
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N/A
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(3)
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Reporting Person's spouse serves as Trustee of a Trust for the benefit of Roger F. Rankin. Reporting Person disclaims beneficial
ownership of all such shares.
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(4)
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GP-Represents Reporting Person's spouse's proportionate limited partnership interest in shares of Rankin Associates IV, L.P. held by the Trust for the benefit of Reporting Person's spouse, as general partner. Reporting Person disclaims beneficial ownership of all such shares.
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(5)
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(RA4) Represents Reporting Person's Spouse's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person disclaims beneficial ownership of all such shares.
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(6)
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Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.-------
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(7)
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Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin.
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(8)
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Represents 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 for the benefit of the daughter. Reporting Person is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
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(9)
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Held by Trust, Reporting Person is Co-Trustee for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial
ownership of all such shares.
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(10)
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Represents 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.
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(11)
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Represents the Reporting Person's spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI"). Reporting Person disclaims beneficial ownership of all such shares.
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(12)
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Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates I, L.P.
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(13)
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Represents the Reporting Person's spouse proportionate limited partnership interest in shares held by Rankin Associates I, L.P.
Reporting Person disclaims beneficial ownership of all such shares.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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RANKIN ALISON A
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, STE. 220
MAYFIELD HEIGHTS, OH 44124
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Member of a group
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Signatures
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/s/ Jesse L. Adkins, attorney-in-fact
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7/10/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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