Alfred M. Rankin Jr. - 10 Dec 2021 Form 4 Insider Report for NACCO INDUSTRIES INC (NC)

Role
Chairman, Director, Group Member
Signature
/s/ Matthew J. Dilluvio, attorney-in-fact
Issuer symbol
NC
Transactions as of
10 Dec 2021
Net transactions value
$0
Form type
4
Filing time
14 Dec 2021, 14:50:21 UTC
Previous filing
14 Feb 2022
Next filing
17 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NC Class A Common Stock Other -27,310 -10% 239,362 10 Dec 2021 AMR Main Trust(A) F1, F2, F3
transaction NC Class A Common Stock Other -5,000 -2.1% 234,362 10 Dec 2021 AMR Main Trust(A) F1, F2, F3
holding NC Class A Common Stock 14,160 10 Dec 2021 AMR - IRA F4
holding NC Class A Common Stock 1,975 10 Dec 2021 AMR - RMI (Delaware) F5
holding NC Class A Common Stock 18,625 10 Dec 2021 AMR - Trust2 (SR) F6
holding NC Class A Common Stock 9,600 10 Dec 2021 AMR - Trust3 (Grandchildren) F7
holding NC Class A Common Stock 14,313 10 Dec 2021 BTR - Class A Trust
holding NC Class A Common Stock 34,936 10 Dec 2021 VGR - Trust F8

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
transaction NC Class B Common Stock Other +27,310 +20% 161,519 10 Dec 2021 Class A Common Stock 27,310 AMR - Trust - B F1, F2, F3
transaction NC Class B Common Stock Other +5,000 +3.1% 166,519 10 Dec 2021 Class A Common Stock 5,000 AMR - Trust - B F1, F2, F3
holding NC Class B Common Stock 2,000 10 Dec 2021 Class A Common Stock 2,000 AMR-RAI/B F2, F9
holding NC Class B Common Stock 25 10 Dec 2021 Class A Common Stock 25 AMR RAIV - GP F2
holding NC Class B Common Stock 9,431 10 Dec 2021 Class A Common Stock 9,431 By Trust/Daughter 2 F2, F10
holding NC Class B Common Stock 9,431 10 Dec 2021 Class A Common Stock 9,431 By Trust/Daughter 1 F2, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Class A shares were exchanged for Class B shares pursuant to the terms of the Amended and Restated Stockholders' Agreement dated September 29, 2017 (as amended).
F2 N/A
F3 Reporting Person serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr.
F4 Held in an Individual Retirement Account for the benefit of the Reporting Person.
F5 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.
F6 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.
F7 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.
F8 Reporting Person serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F9 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.
F10 Reporting person serves as trustee of BTR 2012 GST for the benefit of Clara Williams.
F11 Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Helen R. Butler.