Statement of Changes in Beneficial Ownership (4)
February 15 2018 - 3:01PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
BUTLER HELEN RANKIN
|
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
|
(Last)
(First)
(Middle)
NACCO INDUSTRIES, INC., 5875 LANDERBROOK DRIVE, STE. 220
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/14/2018
|
(Street)
MAYFIELD HEIGHTS, OH 44124
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
2/14/2018
|
|
A
(1)
|
|
42185
|
A
|
(2)
|
105823
|
I
|
By Spouse/Trust
(3)
|
Class A Common Stock
|
2/14/2018
|
|
F
(4)
|
|
5504
|
D
|
(2)
|
100319
|
I
|
By Spouse/Trust
(3)
|
Class A Common Stock
|
|
|
|
|
|
|
|
8211
|
I
|
By RAII/Child 1
(5)
|
Class A Common Stock
|
|
|
|
|
|
|
|
4083
|
I
|
By Trust-Child 1
(6)
|
Class A Common Stock
|
|
|
|
|
|
|
|
8367
|
I
|
By RAII/Child 2
(5)
|
Class A Common Stock
|
|
|
|
|
|
|
|
3927
|
I
|
By Trust-Child 2
(6)
|
Class A Common Stock
|
|
|
|
|
|
|
|
12058
|
I
|
By RAII
(7)
|
Class A Common Stock
|
|
|
|
|
|
|
|
68094
|
I
|
By Trust
(8)
|
Class A Common Stock
|
|
|
|
|
|
|
|
2800
|
I
|
By Spouse/IRA
(9)
|
Class A Common Stock
|
|
|
|
|
|
|
|
7634
|
I
|
By RAII/Spouse
(10)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
69458
|
|
69458
|
I
|
By RAI
(11)
|
Class B Common Stock
|
$0
|
|
|
|
|
|
|
(2)
|
(2)
|
Class A Common Stock
|
41827
|
|
41827
|
I
|
by RAIV
|
Class B Common Stock
|
(2)
|
|
|
|
|
|
|
(2)
|
(2)
|
Class A Common Stock
|
9195
|
|
9195
|
I
|
By Trust
(8)
|
Explanation of Responses:
|
(1)
|
Shares of Class A Common Stock awarded to the Reporting Person's spouse under the Company's Executive Long-Term Incentive Compensation Plan.
|
(2)
|
N/A
|
(3)
|
Reporting Person's spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust. Reporting Person disclaims beneficial ownership of all such shares.
|
(4)
|
Cashless Exercise-Award shares that Reporting Person's Spouse surrendered to Company in order to satisfy his tax withholding obligations with respect to his Long-Term Incentive Plan Stock Award.
|
(5)
|
Represents the Reporting Person's child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
. Reporting Person disclaims beneficial ownership of all such shares.
|
(6)
|
Held by Trust, John C. Butler, Jr., Trustee, for the benefit of Reporting Person's minor child. Reporting Person disclaims beneficial ownership of all such shares.
|
(7)
|
Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
|
(8)
|
Held by Trust for the benefit of Reporting Person.
|
(9)
|
Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse. Reporting Person disclaims beneficial ownership of all such shares.
|
(10)
|
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.
|
(11)
|
RAI-Represents Reporting Person's limited partnership interest in shares held by Rankin Associates I, L.P.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
BUTLER HELEN RANKIN
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, STE. 220
MAYFIELD HEIGHTS, OH 44124
|
|
|
|
Member of a Group
|
Signatures
|
/s/ Jesse L. Adkins, attorney-in-fact
|
|
2/15/2018
|
**
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 control number.
|
NACCO Industries (NYSE:NC)
Historical Stock Chart
From Aug 2024 to Sep 2024
NACCO Industries (NYSE:NC)
Historical Stock Chart
From Sep 2023 to Sep 2024