Upgrade to SI Premium - Free Trial

Form 4 NACCO INDUSTRIES INC For: Dec 14 Filed by: RANKIN ALFRED M ET AL

January 4, 2018 4:10 PM
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
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person *
RANKIN ALFRED M ET AL

(Last) (First) (Middle)
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, STE. 220

(Street)
MAYFIELD HEIGHTS OH 44124

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
NACCO INDUSTRIES INC [ NC ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) X Other (specify below)
Chairman / Group Member
3. Date of Earliest Transaction (Month/Day/Year)
12/14/2017
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 Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 12/14/2017 G V 81 D (1) 26,848 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,767 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,686 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,605 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,524 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,443 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,362 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,281 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,200 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 81 D (1) 26,119 I BTR - RAII (2)
Class A Common Stock 12/14/2017 G V 163 D (1) 1,114 I AMR - RAII (3)
Class A Common Stock 12/14/2017 G V 163 D (1) 951 I AMR - RAII (3)
Class A Common Stock 01/02/2018 A (4) 927 A (1) 211,571 I AMR Main Trust(A) (5)
Class A Common Stock 14,160 I AMR - IRA (6)
Class A Common Stock 1,975 I AMR - RMI (Delaware) (7)
Class A Common Stock 21,286 I AMR - Trust2 (SR) (8)
Class A Common Stock 9,600 I AMR - Trust3 (Grandchildren) (9)
Class A Common Stock 14,313 I BTR - Class A Trust
Class A Common Stock 34,936 I VGR - Trust (10)
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) 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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 61,541 I BTR RAI/B (11)
Class B Common Stock (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 5,370 I Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Helen R. Butler
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 61,314 I BTR RAI/B (11)
Class B Common Stock (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 5,370 I Reporting person serves as trustee of BTR 2012 GST for the benefit of Clara Williams
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 61,087 I BTR RAI/B (11)
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 60,860 I BTR RAI/B (11)
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 60,633 I BTR RAI/B (11)
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 60,406 I BTR RAI/B (11)
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 60,179 I BTR RAI/B (11)
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 59,952 I BTR RAI/B (11)
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 59,725 I BTR RAI/B (11)
Class B Common Stock $ 0 (1) 12/14/2017 G V 227 (1) (1) Class A Common Stock 227 (1) 59,498 I BTR RAI/B (11)
Class B Common Stock (1) (1) (1) Class A Common Stock 14,322 14,322 I AMR-RAI/B (12)
Class B Common Stock $ 0 (1) (1) (1) Class A Common Stock 1,404 1,404 I AMR - RAIV (13)
Class B Common Stock (1) (1) (1) Class A Common Stock 134,209 134,209 I AMR - Trust - B (5)
Class B Common Stock (1) (1) (1) Class A Common Stock 25 25 I AMR RAIV - GP
Class B Common Stock $ 0 (1) (1) (1) Class A Common Stock 59,675 59,675 I BTR - RAIV (14)
Explanation of Responses:
1. N/A
2. Represents the proportionate limited partnership interest in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
3. Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P.
4. Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
5. Reporting Person serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr.
6. Held in an Individual Retirement Account for the benefit of the Reporting Person.
7. Represents the Reporting Person's proportionate limited partnership interest in shares of Rankin Associates II, L.P. held by Rankin Management, Inc. ("RMI"), as general partner.
8. Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin. Reporting Person disclaims bene ficial ownership of all such shares.
9. Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren. Reporting Person disclaims beneficial ownership of all such shares.
10. Reporting Person's spouse serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims benefic ial ownership of all such shares.
11. Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held is a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
12. Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a qualified annuity interest trust for the benefit of Reporting Person.
13. Represents Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
14. (BTR) Reporting Person serves as Trustee of brother's trust. The Trust includes proportionate limited partnership interest in shares held by Rankin Associates I, II and IV L.P. and Class A and B Common Stock; all of which are held in a Trust for the benefit of Reporting Person's brother, Bruce T. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
/s/ Jesse L. Adkins, attorney-in-fact 01/04/2018
** 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 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/ Alfred M. Rankin, Jr.
	Alfred M. Rankin, Jr.

Date:	 02-12-2014
Address: 5875 Landerbrook Drive, Suite 220
         Cleveland, Ohio 44124

Categories

SEC Filings