Statement of Changes in Beneficial Ownership (4)
April 05 2021 - 5:49PM
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).
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
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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 MATTHEW M |
2. Issuer Name and Ticker or Trading Symbol
NACCO INDUSTRIES INC
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NC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ 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 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/1/2021 |
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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 | 4/1/2021 | | A(1) | | 1079 | A | (2) | 21105 | I | By Trust (3) |
| Class A Common Stock | | | | | | | | 722 | I | By Spouse (4) |
| Class A Common Stock (5) | | | | | | | | 2058 | I | By RAII/Spouse (6) |
| Class A Common Stock | | | | | | | | 645 | I | Trust/Child1 (7) |
| Class A Common Stock | | | | | | | | 2814 | I | Trust/RAII/Child1 (8) |
| Class A Common Stock (5) | | | | | | | | 500 | D | |
| Class A Common Stock (5) | | | | | | | | 8682 | I | By RAII (9) |
| Class A Common Stock | | | | | | | | 563 | I | Trust/Child2 (7) |
| Class A Common Stock | | | | | | | | 2666 | I | Trust/RAII/Child2 (8) |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan. |
| (2) | N/A |
| (3) | Held through a trust for the benefit of Reporting Person. |
| (4) | Held by Spouse. Reporting Person disclaims beneficial ownership of all such shares. |
| (5) | As 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. |
| (6) | Represents 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. |
| (7) | Held 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. |
| (8) | Shares 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. |
| (9) | Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
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Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
RANKIN MATTHEW M
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, STE. 220
MAYFIELD HEIGHTS, OH 44124 | X |
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| Member of a group |
Signatures
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| /s/ Matthew J. Dilluvio, attorney-in-fact | | 4/5/2021 |
| **Signature of Reporting Person | Date |
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