| FORM
5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL 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
|
| OMB APPROVAL |
| OMB Number: |
3235-0362 |
| Expires: |
January 31, 2014 |
| Estimated average burden |
| hours per response: |
1.0 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
|
|
Form 3 Holdings Reported. |
|
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person
*
| NACCO INDUSTRIES, INC. |
| 5875 LANDERBROOK DRIVE, STE. 220 |
(Street)
| MAYFIELD HEIGHTS |
OH |
44124 |
|
2. Issuer Name
and
Ticker or Trading Symbol
NACCO INDUSTRIES INC
[
NC
]
|
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 |
|
3. Date of Earliest Transaction
(Month/Day/Year)
12/31/2017
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
|---|
| 1.
Title of Security (Instr.
3)
|
2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
|
4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
|
5.
Amount of Securities Beneficially Owned at end of Issuer's Fiscal
Year (Instr.
3 and 4)
|
6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
7.
Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Amount |
(A) or (D) |
Price |
|
Class A Common Stock
|
12/22/2017 |
|
G |
7,682
|
D
|
$
0
|
47,106
|
I
|
BBT/Wells Fargo Trust
|
|
Class A Common Stock
|
12/26/2017 |
|
G |
7,682
|
D
|
$
0
|
47,106
|
I
|
BBT/Wells Fargo Trust
|
|
Class A Common Stock
|
|
|
|
|
|
|
2
|
I
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Shares held in Trust: 2012 Taplin Annuity Trust #2
|
|
Class A Common Stock
|
|
|
|
|
|
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344,600
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I
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Proportionate membership interest in shares held by Abigail II, LLC
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|
Class A Common Stock
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|
|
|
|
|
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10,104
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I
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Proportionate membership interest in shares held by Abigail, LLC
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|
Class A Common Stock
|
|
|
|
|
|
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13,040
|
I
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By Marital Trust/PNC
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|
Class A Common Stock
|
|
|
|
|
|
|
9,785
|
I
|
By Trust/GC#5
|
|
Class A Common Stock
|
|
|
|
|
|
|
9,785
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I
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By Trust/GC#4
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|
Class A Common Stock
|
|
|
|
|
|
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5,250
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I
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By Trust/GC#1
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Class A Common Stock
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|
|
|
|
|
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12,649
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I
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By Trust/GC#2
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Class A Common Stock
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|
|
|
|
|
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12,649
|
I
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By Trust/GC#3
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Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1.
Title of Derivative Security (Instr.
3)
|
2.
Conversion or Exercise Price of Derivative Security
|
3.
Transaction Date
(Month/Day/Year) |
3A.
Deemed Execution Date, if any
(Month/Day/Year) |
4.
Transaction Code (Instr.
8)
|
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)
|
8.
Price of Derivative Security (Instr.
5)
|
9.
Number of derivative Securities Beneficially Owned Following
Reported Transaction(s) (Instr.
4)
|
10.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
11.
Nature of Indirect Beneficial Ownership (Instr.
4)
|
| (A) |
(D) |
Date
Exercisable |
Expiration
Date |
Title |
Amount or
Number of Shares |
|
Class B Common Stock
|
$
0
|
|
|
|
|
|
|
|
Class A Common Stock
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27,310
|
|
27,310
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I
|
By Trust
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| Explanation of Responses: |
|
|
|
|
/s/ Jesse L. Adkins, attorney-in-fact |
02/14/2018 |
|
** 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 John D. Neumann, Jesse L. Adkins, Kimberly J. Pustulka, Eric Orsic
and Thomas J. Murphy, 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.
Beatrice B. Taplin
Marital Trust created by the Agreement, dated January 21, 1966, as
supplemented, amended and restated, between PNC Bank and Beatrice Taplin, as
Trustees, and Thomas E. Taplin, for the benefit of Beatrice B. Taplin;
Taplin Annuity Trust #1 of Beatrice B. Taplin dated June 18, 2011;
The Beatrice B. Taplin Trust/Custody dtd December 12, 2001, Beatrice B.
Taplin, as Trustee, for the benefit of Beatrice B. Taplin;
Thomas E. Taplin Exempt Family Trust u/a dated January 21, 1966 and as
amended, Beatrice Taplin, Trustee; and
Thomas E. Taplin Exempt Family Trust u/a dated January 21, 1966 amended,
per IRC 1015(A) Dual Basis Sub-Account, Beatrice Taplin, Trustee
By: Beatrice B. Taplin, as Trustee
Name: /s/ Beatrice B. Taplin
Beatrice B. Taplin
Date: 1/17/2018
Address: 5875 Landerbrook Drive, Suite 220
Cleveland, Ohio 44124
