FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Expires: |
December 31, 2014 |
Estimated average burden |
hours per response: |
0.5 |
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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).
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1. Name and Address of Reporting Person
*
NACCO INDUSTRIES, INC. |
5875 LANDERBROOK DRIVE, STE. 220 |
(Street)
MAYFIELD HEIGHTS |
OH |
44124 |
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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)
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Director |
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10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
Member of a group |
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3. Date of Earliest Transaction
(Month/Day/Year) 12/14/2017
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check
Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting
Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
1.
Title of Security (Instr.
3)
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2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
Class A Common Stock
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12/14/2017 |
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G |
V
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81
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A
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12,384
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I
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By Assoc II
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Class A Common Stock
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12/14/2017 |
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G |
V
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163
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A
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6,899
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I
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By AssocII/Spouse
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Class A Common Stock
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12/14/2017 |
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G |
V
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163
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D
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12,221
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I
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By Assoc II
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Class A Common Stock
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12/14/2017 |
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G |
V
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163
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A
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8,365
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I
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By Assoc II/Daughter
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Class A Common Stock
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12/14/2017 |
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G |
V
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163
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D
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12,058
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I
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By Assoc II
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Class A Common Stock
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12/14/2017 |
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G |
V
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163
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A
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9,740
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I
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By AssocII/Daughter 2
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Class A Common Stock
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01/02/2018 |
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A |
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556
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A
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10,437
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I
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By Spouse
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Class A Common Stock
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68,094
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I
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By Trust
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Class A Common Stock
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2,553
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I
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By Trust/Child2
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Class A Common Stock
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3,927
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I
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Trust/Child1
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction 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
(Month/Day/Year) |
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: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Class B Common Stock
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12/14/2017 |
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G |
V
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227
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Class A Common Stock
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227
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5,370
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I
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By Trust
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Class B Common Stock
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Class A Common Stock
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69,458
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69,458
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I
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By RAI
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Class B Common Stock
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Class A Common Stock
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41,827
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41,827
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I
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by RAIV B
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Class B Common Stock
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Class A Common Stock
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9,195
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9,195
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I
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By Trust
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Explanation of Responses: |
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/s/ Jesse L. Adkins, attorney-in-fact |
01/04/2018 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes
and appoints Mary D. Maloney, John D. Neumann, Jesse Adkins, and Eric Orsic, and
each of them, as the true and lawful attorney or attorneys-in-fact, with full
power of substitution and revocation, for the undersigned and in the name,
place and stead of the undersigned, in any and all capacities, to execute,
on behalf of the undersigned, any and all statements or reports under Section
16 of the Securities Exchange Act of 1934, as amended, with respect to the
beneficial ownership of shares of Class A Common Stock, par value $1.00 per
share, of NACCO Industries, Inc. (the ?Company?) and Class B Common Stock,
par value $1.00 per share, of the Company, including, without limitation,
all initial statements of beneficial ownership on Form 3, all statements
of changes of beneficial ownership on Form 4 and all annual statements
of beneficial ownership on Form 5 and any and all other documents that
may be required, from time to time, to be filed with the Securities and
Exchange Commission, to execute any and all amendments or supplements to
any such statements or forms, and to file the same, with all exhibits
thereto, and other documents in connection therewith , with the Securities
and Exchange Commission, granting to said attorney or attorneys-in-fact,
and each of them, full power and authority to do so and perform each and
every act and thing requisite and necessary to be done in and about the
premises, as fully to all intents and purposes as the undersigned
might or could do in person, hereby ratifying and confirming all that
said attorney or attorneys-in-fact or any of them or their substitute or
substitutes, may lawfully do or cause to be done by virtue hereof.
Name: /s/ Clara Rankin Williams
Clara Rankin Williams
Date: 1/23/14
Address: 5875 Landerbrook Drive, Suite 220
Cleveland, Ohio 44124