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 *

RANKIN ALFRED M ET AL
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
(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)    43432   A   (2) 255003   I   AMR Main Trust(A)   (3)
Class A Common Stock   2/14/2018     F (4)    5900   D   (2) 249103   I   AMR Main Trust(A)   (3)
Class A Common Stock                  14160   I   AMR - IRA   (5)
Class A Common Stock                  951   I   AMR - RAII   (6)
Class A Common Stock                  1975   I   AMR - RMI (Delaware)   (7)
Class A Common Stock                  21286   I   AMR - Trust2 (SR)   (8)
Class A Common Stock                  9600   I   AMR - Trust3 (Grandchildren)   (9)
Class A Common Stock                  26119   I   BTR - RAII   (10)
Class A Common Stock                  14313   I   BTR - Class A Trust  
Class A Common Stock                  34936   I   VGR - Trust   (11)

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   14322     14322   I   AMR-RAI/B   (12)
Class B Common Stock   $0   (2)                    (2)   (2) Class A Common Stock   1404     1404   I   AMR - RAIV   (13)
Class B Common Stock     (2)                    (2)   (2) Class A Common Stock   134209     134209   I   AMR - Trust - B   (3)
Class B Common Stock     (2)                    (2)   (2) Class A Common Stock   25     25   I   AMR RAIV - GP  
Class B Common Stock   $0   (2)                    (2)   (2) Class A Common Stock   59675     59675   I   BTR - RAIV   (14)
Class B Common Stock     (2)                    (2)   (2) Class A Common Stock   5370     5370   I   Reporting person serves as trustee of BTR 2012 GST for the benefit of Clara Williams  
Class B Common Stock     (2)                    (2)   (2) Class A Common Stock   5370     5370   I   Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Helen R. Butler  
Class B Common Stock   $0   (2)                    (2)   (2) Class A Common Stock   59498     59498   I   BTR RAI/B   (15)

Explanation of Responses:
(1)  Shares of Class A Common Stock awarded to the Reporting Person under the Company's Executive Long-Term Incentive Compensation Plan.
(2)  N/A
(3)  Reporting Person serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr.
(4)  Cashless Exercise-Award shares that Reporting Person surrendered to Company in order to satisfy his/her tax withholding obligations with respect to his/her Long-Term Incentive Plan Stock Award.
(5)  Held in an Individual Retirement Account for the benefit of the Reporting Person.
(6)  Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P.
(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)  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.
(11)  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.
(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.
(15)  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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
RANKIN ALFRED M ET AL
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, STE. 220
MAYFIELD HEIGHTS, OH 44124
X
Chairman Group Member

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 Mar 2024 to Apr 2024 Click Here for more NACCO Industries Charts.
NACCO Industries (NYSE:NC)
Historical Stock Chart
From Apr 2023 to Apr 2024 Click Here for more NACCO Industries Charts.