Sec Form 4 Filing - RANKIN ALFRED M ET AL @ NACCO INDUSTRIES INC - 2020-07-01

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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 [ 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/YY)
07/01/2020
(Street)
MAYFIELD HEIGHTS, OH44124
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 07/01/2020 A( 1 ) 1,401 A 258,873 I AMR Main Trust(A) ( 3 )
Class A Common Stock 14,160 I AMR - IRA ( 4 )
Class A Common Stock 1,975 I AMR - RMI (Delaware) ( 5 )
Class A Common Stock 18,625 I AMR - Trust2 (SR) ( 6 )
Class A Common Stock 9,600 I AMR - Trust3 (Grandchildren) ( 7 )
Class A Common Stock 21,916 I BTR - RAII ( 8 )
Class A Common Stock 14,313 I BTR - Class A Trust
Class A Common Stock 34,936 I VGR - Trust ( 9 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 14,322 14,322 I AMR-RAI/B ( 10 )
Class B Common Stock $ 0 ( 2 ) ( 2 ) ( 2 ) Class A Common Stock 1,404 1,404 I AMR - RAIV ( 11 )
Class B Common Stock ( 2 ) ( 2 ) ( 2 ) Class A Common Stock 134,209 134,209 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 59,675 59,675 I BTR - RAIV ( 12 )
Class B Common Stock ( 2 ) ( 2 ) ( 2 ) Class A Common Stock 9,431 9,431 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 9,431 9,431 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 18,894 18,894 I BTR RAI/B ( 13 )
Reporting Owners
Reporting Owner Name / Addres s Relationships
Director 10% Owner Officer Other
RANKIN ALFRED M ET AL
NACCO INDUSTRIES, INC.
5875 LANDERBROOK DRIVE, STE. 220
MAYFIELD HEIGHTS, OH44124
X Chairman Group Member
Signatures
/s/ Matthew J. Dilluvio, attorney-in-fact 07/01/2020
Signature of Reporting Person Date
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 beneficial 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 )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.
( 9 )Reporting Person serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
( 10 )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.
( 11 )Represents Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
( 12 )(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.
( 13 )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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