Statement of Changes in Beneficial Ownership (4)
April 05 2021 - 5:55PM
Edgar (US Regulatory)
FORM 4
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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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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
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RANKIN ALISON A |
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 |
(Last)
(First)
(Middle)
NACCO INDUSTRIES, INC., 5875 LANDERBROOK DRIVE, STE. 220 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/1/2021 |
(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) | 4531 | I | By Spouse/Trust (3) |
Class A Common Stock | | | | | | | | 29986 | I | By Assoc II (4) |
Class A Common Stock | | | | | | | | 6613 | I | By Trust (5) |
Class A Common Stock | | | | | | | | 2191 | I | By Trust/Daughter 1 (6) |
Class A Common Stock | | | | | | | | 2191 | I | By Trust/Daughter 2 (7) |
Class A Common Stock | | | | | | | | 2046 | I | By Trust (Daughter 2) (8) |
Class A Common Stock | | | | | | | | 200 | I | By Trust/Daughter 2 (9) |
Class A Common Stock | | | | | | | | 16437 | I | By Assoc II/Daughter 2 (10) |
Class A Common Stock | | | | | | | | 4944 | I | By Assoc II/Daughter 2 (11) |
Class A Common Stock | | | | | | | | 4133 | I | By Trust (Daughter 1) (12) |
Class A Common Stock | | | | | | | | 14931 | I | By Assoc II/Daughter 1 (10) |
Class A Common Stock | | | | | | | | 3056 | I | By Assoc II/Daughter 1 (11) |
Class A Common Stock | | | | | | | | 1505 | I | By Assoc II/Daughter 1 (13) |
Class A Common Stock | | | | | | | | 3011 | I | By Assoc II/Spouse (14) |
Class A Common Stock | | | | | | | | 1975 | I | By Spouse/RMI (Delaware) (15) |
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 |
Class B Common Stock | (2) | | | | | | | (2) | (2) | Class A Common Stock | 75504 | | 75504 | I | By Assoc I (16) |
Class B Common Stock | (2) | | | | | | | (2) | (2) | Class A Common Stock | 85056 | | 85056 | I | By Assoc IV (17) |
Class B Common Stock | (2) | | | | | | | (2) | (2) | Class A Common Stock | 9431 | | 9431 | I | By Trust/Daughter 1 (18) |
Class B Common Stock | (2) | | | | | | | (2) | (2) | Class A Common Stock | 9431 | | 9431 | I | By Trust/Daughter 2 (19) |
Class B Common Stock | (2) | | | | | | | (2) | (2) | Class A Common Stock | 7858 | | 7858 | I | By Trust/Daughter 1 (6) |
Class B Common Stock | (2) | | | | | | | (2) | (2) | Class A Common Stock | 7858 | | 7858 | I | By Trust/Daughter 2 (7) |
Class B Common Stock | $0 (2) | | | | | | | (2) | (2) | Class A Common Stock | 25 | | 25 | I | By GP (20) |
Class B Common Stock | $0 (2) | | | | | | | (2) | (2) | Class A Common Stock | 4808 | | 4808 | I | By Assoc I/Spouse (21) |
Class B Common Stock | $0 (2) | | | | | | | (2) | (2) | Class A Common Stock | 193586 | | 193586 | I | By Spouse/Trust (3) |
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) | 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. |
(4) | Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P. |
(5) | Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin. |
(6) | Reporting Person's spouse serves as trustee for BTR 2020 GST Trust f/b/o Anne F. Rankin. Reporting Person disclaims beneficial ownership of all such shares. |
(7) | Reporting Person's spouse serves as trustee for BTR 2020 GST Trust f/b/o Elisabeth M. Rankin. Reporting Person disclaims beneficial ownership of all such shares. |
(8) | Held by Trust dated December 18, 1997. Reporting Person is Co-Trustee for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial ownership of all such shares. |
(9) | Held by Trust dated December 30, 2015. Reporting Person's Spouse serves as Trustee of the Trust for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial ownership of all such shares. |
(10) | 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 dated December 18, 1997 for the benefit of the daughter. Reporting Person is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares. |
(11) | 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 dated September 11, 2000 (Posterity Trust) for the benefit of the daughter. Reporting Person is the trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares. |
(12) | Held by Trust dated August 15, 2012. Reporting Person is Co-Trustee for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial ownership of all such shares. |
(13) | 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 dated August 15, 2012 for the benefit of the daughter. Reporting Person is the trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares. |
(14) | 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. |
(15) | 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. |
(16) | Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates I, L.P. |
(17) | Represents Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. |
(18) | Reporting person's spouse serves as trustee of BTR 2012 GST Trust for the benefit of Anne F. Rankin. |
(19) | Reporting person's spouse serves as trustee of BTR 2012 GST Trust for benefit of Elisabeth Rankin. |
(20) | 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. |
(21) | Represents 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RANKIN ALISON A NACCO INDUSTRIES, INC. 5875 LANDERBROOK DRIVE, STE. 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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