Form Type: 4

SEC EDGAR Link
Acccession Number:0001127602-20-000526
Date:2019-12-05
Issuer: NACCO INDUSTRIES INC (NC)
Original Submission Date:

Reporting Person:

RANKIN ALFRED M ET AL
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, STE. 220 MAYFIELD HEIGHTS, OH 44124

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2019-12-05 G 111 d $0.00 23,989 indirect f2
CLASS A COMMON STOCK 2019-12-05 G 222 d $0.00 319 indirect f3
CLASS A COMMON STOCK 2019-12-05 G 222 d $0.00 97 indirect f3
CLASS A COMMON STOCK 2020-01-02 A 714 a $0.00 256,567 indirect f5
CLASS A COMMON STOCK 0 $0.00 14,160 indirect f6
CLASS A COMMON STOCK 0 $0.00 1,975 indirect f7
CLASS A COMMON STOCK 0 $0.00 18,625 indirect f8
CLASS A COMMON STOCK 0 $0.00 9,600 indirect f9
CLASS A COMMON STOCK 0 $0.00 14,313 indirect
CLASS A COMMON STOCK 0 $0.00 34,936 indirect f10
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 14,322 $0.00 14,322 indirect amr-rai/b
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 1,404 $0.00 1,404 indirect amr - raiv
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 134,209 $0.00 134,209 indirect amr - trust - b
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 25 $0.00 25 indirect amr raiv - gp
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 59,675 $0.00 59,675 indirect btr - raiv
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 5,370 $0.00 5,370 indirect reporting person serves as trustee of btr 2012 gst for the benefit of clara williams
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 5,370 $0.00 5,370 indirect reporting person serves as trustee of btr 2012 gst trust for the benefit of helen r. butler
CLASS B COMMON STOCK 0.0 deemed execution date 0 ( ) class a common stock 59,498 $0.00 59,498 indirect btr rai/b
Footnotes
IDfootnote
f1 n/a
f2 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.
f3 represents the reporting person's proportionate limited partnership interest in shares held by rankin associates ii, l.p.
f4 shares of class a common stock awarded to the reporting person as "required shares" under the company's non-employee directors' equity compensation plan.
f5 reporting person serves as trustee of a trust for the benefit of alfred m. rankin, jr.
f6 held in an individual retirement account for the benefit of the reporting person.
f7 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.
f8 reporting person serves as trustee of trusts for the benefit of the estate of alfred m. rankin. reporting person disclaims beneficial ownership of all such shares.
f9 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.
f10 reporting person serves as trustee of a trust for the benefit of victoire g. rankin. reporting person disclaims beneficial ownership of all such shares.
f11 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.
f12 represents reporting person's proportionate limited partnership interest in shares held by rankin associates iv, l.p.
f13 (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.
f14 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.

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