Alison A. Rankin - Oct 1, 2021 Form 4 Insider Report for NACCO INDUSTRIES INC (NC)

Role
Member of a group
Signature
/s/ Matthew J. Dilluvio, attorney-in-fact
Stock symbol
NC
Transactions as of
Oct 1, 2021
Transactions value $
$0
Form type
4
Date filed
10/1/2021, 03:33 PM
Previous filing
Jul 1, 2021
Next filing
Dec 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NC Class A Common Stock Award +1.01K +18.15% 6.6K Oct 1, 2021 By Spouse/Trust F1, F2, F3
holding NC Class A Common Stock 30K Oct 1, 2021 By Assoc II F4
holding NC Class A Common Stock 6.61K Oct 1, 2021 By Trust F5
holding NC Class A Common Stock 2.19K Oct 1, 2021 By Trust/Daughter 1 F6
holding NC Class A Common Stock 2.19K Oct 1, 2021 By Trust/Daughter 2 F7
holding NC Class A Common Stock 2.05K Oct 1, 2021 By Trust (Daughter 2) F8
holding NC Class A Common Stock 200 Oct 1, 2021 By Trust/Daughter 2 F9
holding NC Class A Common Stock 16.4K Oct 1, 2021 By Assoc II/Daughter 2 F10
holding NC Class A Common Stock 4.94K Oct 1, 2021 By Assoc II/Daughter 2 F11
holding NC Class A Common Stock 4.13K Oct 1, 2021 By Trust (Daughter 1) F12
holding NC Class A Common Stock 14.9K Oct 1, 2021 By Assoc II/Daughter 1 F10
holding NC Class A Common Stock 3.06K Oct 1, 2021 By Assoc II/Daughter 1 F11
holding NC Class A Common Stock 1.51K Oct 1, 2021 By Assoc II/Daughter 1 F13
holding NC Class A Common Stock 3.01K Oct 1, 2021 By Assoc II/Spouse F14
holding NC Class A Common Stock 1.98K Oct 1, 2021 By Spouse/RMI (Delaware) F15

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding NC Class B Common Stock 75.5K Oct 1, 2021 Class A Common Stock 75.5K By Assoc I F2, F16
holding NC Class B Common Stock 85.1K Oct 1, 2021 Class A Common Stock 85.1K By Assoc IV F2, F17
holding NC Class B Common Stock 9.43K Oct 1, 2021 Class A Common Stock 9.43K By Trust/Daughter 1 F2, F18
holding NC Class B Common Stock 9.43K Oct 1, 2021 Class A Common Stock 9.43K By Trust/Daughter 2 F2, F19
holding NC Class B Common Stock 7.86K Oct 1, 2021 Class A Common Stock 7.86K By Trust/Daughter 1 F2, F6
holding NC Class B Common Stock 7.86K Oct 1, 2021 Class A Common Stock 7.86K By Trust/Daughter 2 F2, F7
holding NC Class B Common Stock 25 Oct 1, 2021 Class A Common Stock 25 $0.00 By GP F2, F20
holding NC Class B Common Stock 4.81K Oct 1, 2021 Class A Common Stock 4.81K $0.00 By Assoc I/Spouse F2, F21
holding NC Class B Common Stock 194K Oct 1, 2021 Class A Common Stock 194K $0.00 By Spouse/Trust F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 Reporting Person's spouse serves as trustee for BTR 2020 GST Trust f/b/o Anne F. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F7 Reporting Person's spouse serves as trustee for BTR 2020 GST Trust f/b/o Elisabeth M. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F8 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.
F9 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.
F10 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.
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 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.
F12 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.
F13 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.
F14 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.
F15 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.
F16 Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates I, L.P.
F17 Represents Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F18 Reporting person's spouse serves as trustee of BTR 2012 GST Trust for the benefit of Anne F. Rankin.
F19 Reporting person's spouse serves as trustee of BTR 2012 GST Trust for benefit of Elisabeth Rankin.
F20 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.
F21 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.