Statement of Changes in Beneficial Ownership (4)
July 01 2021 - 3:53PM
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
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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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1. Name and Address of Reporting Person
*
RANKIN ALFRED M ET AL |
2. Issuer Name and Ticker or Trading Symbol
NACCO INDUSTRIES INC
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NC
]
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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
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Group Member |
(Last)
(First)
(Middle)
NACCO INDUSTRIES, INC., 5875 LANDERBROOK DRIVE, STE. 220 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/1/2021 |
(Street)
MAYFIELD HEIGHTS, OH 44124
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 7/1/2021 | | A(1) | | 1508 | A | (2) | 265224 | I | AMR Main Trust(A) (3) |
Class A Common Stock | | | | | | | | 14160 | I | AMR - IRA (4) |
Class A Common Stock | | | | | | | | 1975 | I | AMR - RMI (Delaware) (5) |
Class A Common Stock | | | | | | | | 18625 | I | AMR - Trust2 (SR) (6) |
Class A Common Stock | | | | | | | | 9600 | I | AMR - Trust3 (Grandchildren) (7) |
Class A Common Stock | | | | | | | | 14313 | I | BTR - Class A Trust |
Class A Common Stock | | | | | | | | 34936 | I | VGR - Trust (8) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 | 2000 | | 2000 | I | AMR-RAI/B (9) |
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 | (2) | | | | | | | (2) | (2) | Class A Common Stock | 9431 | | 9431 | I | By Trust/Daughter 2 (10) |
Class B Common Stock | (2) | | | | | | | (2) | (2) | Class A Common Stock | 9431 | | 9431 | I | By Trust/Daughter 1 (11) |
Explanation of Responses: |
(1) | Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan. |
(2) | N/A |
(3) | Reporting Person serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr. |
(4) | Held in an Individual Retirement Account for the benefit of the Reporting Person. |
(5) | 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. |
(6) | 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. |
(7) | 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. |
(8) | Reporting Person serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims beneficial ownership of all such shares. |
(9) | 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. |
(10) | Reporting person serves as trustee of BTR 2012 GST for the benefit of Clara Williams. |
(11) | Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Helen R. Butler. |
Reporting Owners
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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
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/s/ Matthew J. Dilluvio, attorney-in-fact | | 7/1/2021 |
**Signature of Reporting Person | Date |
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