Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-20-020652
Date:2020-07-01
Issuer: NACCO INDUSTRIES INC (NC)
Original Submission Date:

Reporting Person:

RANKIN ALISON A
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 2020-07-01 A 934 a $0.00 1,252 indirect f3
CLASS A COMMON STOCK 2020-07-01 0 $0.00 29,986 indirect f4
CLASS A COMMON STOCK 2020-07-01 0 $0.00 6,613 indirect f5
CLASS A COMMON STOCK 2020-07-01 0 $0.00 2,046 indirect f6
CLASS A COMMON STOCK 2020-07-01 0 $0.00 200 indirect f7
CLASS A COMMON STOCK 2020-07-01 0 $0.00 16,437 indirect f8
CLASS A COMMON STOCK 2020-07-01 0 $0.00 4,944 indirect f9
CLASS A COMMON STOCK 2020-07-01 0 $0.00 4,133 indirect f10
CLASS A COMMON STOCK 2020-07-01 0 $0.00 14,931 indirect f8
CLASS A COMMON STOCK 2020-07-01 0 $0.00 3,056 indirect f9
CLASS A COMMON STOCK 2020-07-01 0 $0.00 1,505 indirect f11
CLASS A COMMON STOCK 2020-07-01 0 $0.00 3,011 indirect f12
CLASS A COMMON STOCK 2020-07-01 0 $0.00 1,975 indirect f13
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 2020-07-01 deemed execution date 0 ( ) class a common stock 75,504 $0.00 75,504 indirect by assoc i
CLASS B COMMON STOCK 0.0 2020-07-01 deemed execution date 0 ( ) class a common stock 9,431 $0.00 9,431 indirect reporting person's spouse serves as trustee of btr 2012 gst trust for the benefit of anne f. rankin
CLASS B COMMON STOCK 0.0 2020-07-01 deemed execution date 0 ( ) class a common stock 9,431 $0.00 9,431 indirect reporting person's spouse serves as trustee of btr 2012 gst trust for benefit of elisabeth rankin
CLASS B COMMON STOCK 0.0 2020-07-01 deemed execution date 0 ( ) class a common stock 25 $0.00 25 indirect by gp
CLASS B COMMON STOCK 0.0 2020-07-01 deemed execution date 0 ( ) class a common stock 85,056 $0.00 85,056 indirect by spouse (ra4)
CLASS B COMMON STOCK 0.0 2020-07-01 deemed execution date 0 ( ) class a common stock 4,808 $0.00 4,808 indirect by assoc i/spouse
CLASS B COMMON STOCK 0.0 2020-07-01 deemed execution date 0 ( ) class a common stock 193,586 $0.00 193,586 indirect by spouse/trust
Footnotes
IDfootnote
f1 spouse's shares of class a common stock awarded to the reporting person's spouse as "required shares" under the company's non-employee directors' equity compensation plan
f2 n/a
f3 reporting person's spouse serves as trustee of a trust for the benefit of roger f. rankin. reporting person disclaims beneficial ownership of all such shares.
f4 represents the reporting person's proportionate limited partnership interests in shares held by rankin associates ii, l.p.
f5 reporting person serves as trustee of a trust for the benefit of alison rankin.
f6 held by trust dated december 18, 1997. reporting person is co-trustee for the benefit of reporting person's daughter. reporting person disclaims beneficial ownership of all such shares.
f7 held by trust dated december 30, 2015. reporting person's spouse serves as trustee of the trust for the benefit of reporting person's daughter. reporting person disclaims beneficial ownership of all such shares.
f8 represents the reporting person's daughter's proportionate limited partnership interest in shares held by rankin associates ii, l.p. which is held in a trust dated december 18, 1997 for the benefit of the daughter. reporting person is the co-trustee of the trust. reporting person disclaims beneficial ownership of all such shares.
f9 represents the reporting person's daughter's proportionate limited partnership interest in shares held by rankin associates ii, l.p. which is held in a trust dated september 11, 2000 (posterity trust) for the benefit of the daughter. reporting person is the trustee of the trust. reporting person disclaims beneficial ownership of all such shares.
f10 held by trust dated august 15, 2012. reporting person is co-trustee for the benefit of reporting person's daughter. reporting person disclaims beneficial ownership of all such shares.
f11 represents the reporting person's daughter's proportionate limited partnership interest in shares held by rankin associates ii, l.p. which is held in a trust dated august 15, 2012 for the benefit of the daughter. reporting person is the trustee of the trust. reporting person disclaims beneficial ownership of all such shares.
f12 represents the reporting person's spouse's proportionate limited partnership interest in shares held by rankin associates ii, l.p.. reporting person disclaims beneficial ownership of all such shares.
f13 represents the reporting person's spouse's proportionate interest in shares held by rankin management, inc. ("rmi"). reporting person disclaims beneficial ownership of all such shares.
f14 represents the reporting person's proportionate limited partnership interests in shares held by rankin associates i, l.p.
f15 gp-represents reporting person's spouse's proportionate limited partnership interest in shares of rankin associates iv, l.p. held by the trust for the benefit of reporting person's spouse, as general partner. reporting person disclaims beneficial ownership of all such shares.
f16 (ra4) represents reporting person's spouse's proportionate limited partnership interest in shares held by rankin associates iv, l.p. reporting person disclaims beneficial ownership of all such shares.
f17 represents the reporting person's spouse's proportionate limited partnership interest in shares held by rankin associates i, l.p. reporting person disclaims beneficial ownership of all such shares.
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