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NC NACCO Industries Inc

28.15
-0.37 (-1.30%)
27 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
NACCO Industries Inc NYSE:NC NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.37 -1.30% 28.15 28.41 28.00 28.41 6,395 01:00:00

Statement of Changes in Beneficial Ownership (4)

01/10/2021 8:23pm

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 *

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)

10/1/2021
(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 10/1/2021  A(1)  1448 A (2)266672 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)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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 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)
Class B Common Stock  (2)           (2) (2)Class A Common Stock 134209  134209 I AMR - Trust - B (3)

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
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
RANKIN ALFRED M ET AL
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, STE. 220
MAYFIELD HEIGHTS, OH 44124
X
ChairmanGroup Member

Signatures
/s/ Matthew J. Dilluvio, attorney-in-fact10/1/2021
**Signature of Reporting PersonDate

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