Statement of Changes in Beneficial Ownership (4)
April 05 2021 - 5:51PM
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 ELIZABETH B |
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)
_____ 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, SUITE 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/Spouse (3) |
| Class A Common Stock | | | | | | | | 722 | D | |
| Class A Common Stock | | | | | | | | 2058 | I | By RAII (4) |
| Class A Common Stock | | | | | | | | 2814 | I | By Spouse/Co-Trustee for Child1/RAII (5) |
| Class A Common Stock | | | | | | | | 645 | I | By Spouse/Co-Trustee for Child1/Trust (6) |
| Class A Common Stock | | | | | | | | 500 | I | By Spouse (7) |
| Class A Common Stock | | | | | | | | 8682 | I | By RAII/Spouse (8) |
| Class A Common Stock | | | | | | | | 2666 | I | By Spouse/Co-Trustee for Child2/RAII (5) |
| Class A Common Stock | | | | | | | | 563 | I | By Spouse/Co-Trustee for Child2/Trust (6) |
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) | Spouse's shares of Class A Common Stock awarded to the Reporting Person's spouse as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan. |
| (2) | N/A |
| (3) | Held in Trust for benefit of Reporting Person's spouse. Reporting Person disclaims beneficial ownership of all such shares. |
| (4) | Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
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| (5) | Held by Trust for the benefit of Reporting Person's minor child. Spouse serves as co-trustee with PNC bank. Shares represent the minor child's proportionate limited interests in shares held by Rankin Associates II, L.P. Reporting Person disclaims beneficial ownership of all such shares. |
| (6) | Held by a trust for Reporting Person's minor child. Reporting Person's spouse and Reporting Person's spouse's brother, James T. Rankin, serve as co-trustees of the trust. Reporting Person disclaims beneficial ownership of all such shares. |
| (7) | By Spouse. Reporting Person disclaims beneficial ownership of all such shares. |
| (8) | 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
RANKIN ELIZABETH B
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, SUITE 220
MAYFIELD HEIGHTS, OH 44124 |
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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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