Roger F. Rankin - Dec 31, 2021 Form 5 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
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
2/11/2022, 11:04 AM
Previous filing
Dec 17, 2021
Next filing
Jan 4, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NC Class A Common Stock Gift $0 +301 +20% $0.00 1.81K Dec 30, 2021 By Assoc II/Daughter 1 F1, F2
transaction NC Class A Common Stock Gift $0 -301 -100% $0.00* 0 Dec 30, 2021 By Assoc II F1, F3
transaction NC Class A Common Stock Gift $0 -301 -100% $0.00* 0 Dec 30, 2021 By Assoc II F1, F3
transaction NC Class A Common Stock Gift $0 +301 +1.83% $0.00 16.7K Dec 30, 2021 By Assoc II/Daughter 2 F1, F4
transaction NC Class A Common Stock Gift $0 -2.41K -100% $0.00* 0 Dec 30, 2021 By Assoc II F1, F3
transaction NC Class A Common Stock Gift $0 +2.41K +8.03% $0.00 32.4K Dec 30, 2021 By Assoc II/Spouse F1, F5
holding NC Class A Common Stock 6.61K Dec 31, 2021 By Spouse/Trust F6
holding NC Class A Common Stock 2.19K Dec 31, 2021 By Trust/Daughter 1 F7
holding NC Class A Common Stock 2.19K Dec 31, 2021 By Trust/Daughter 2 F8
holding NC Class A Common Stock 2.05K Dec 31, 2021 By Trust (Daughter 2) F9
holding NC Class A Common Stock 200 Dec 31, 2021 By Trust/Daughter 2 F10
holding NC Class A Common Stock 4.94K Dec 31, 2021 By Assoc II/Daughter 2 F11
holding NC Class A Common Stock 4.13K Dec 31, 2021 By Trust (Daughter 1) F12
holding NC Class A Common Stock 14.9K Dec 31, 2021 By Assoc II/Daughter 1 F4
holding NC Class A Common Stock 3.06K Dec 31, 2021 By Assoc II/Daughter 1 F11
holding NC Class A Common Stock 1.98K Dec 31, 2021 By RMI (Delaware) F13
holding NC Class A Common Stock 6.6K Dec 31, 2021 By Trust F14

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 Dec 31, 2021 Class A Common Stock 75.5K By Assoc I/Spouse F1, F15
holding NC Class B Common Stock 85.1K Dec 31, 2021 Class A Common Stock 85.1K By Assoc IV/Spouse F1, F16
holding NC Class B Common Stock 9.43K Dec 31, 2021 Class A Common Stock 9.43K By Trust/Daughter 1 F1, F17
holding NC Class B Common Stock 9.43K Dec 31, 2021 Class A Common Stock 9.43K By Trust/Daughter 2 F1, F18
holding NC Class B Common Stock 7.86K Dec 31, 2021 Class A Common Stock 7.86K By Trust/Daughter 1 F1, F7
holding NC Class B Common Stock 7.86K Dec 31, 2021 Class A Common Stock 7.86K By Trust/Daughter 2 F1, F8
holding NC Class B Common Stock 25 Dec 31, 2021 Class A Common Stock 25 $0.00 By GP F1, F19
holding NC Class B Common Stock 4.81K Dec 31, 2021 Class A Common Stock 4.81K $0.00 By Assoc I F1, F20
holding NC Class B Common Stock 194K Dec 31, 2021 Class A Common Stock 194K $0.00 By Trust F1, F14
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 N/A
F2 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's spouse is the trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F3 Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
F4 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's spouse is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F5 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.
F6 Reporting Person's spouse serves as Trustee of a Trust for the benefit of Alison Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F7 Reporting Person serves as trustee for BTR 2020 GST Trust f/b/o Anne F. Rankin.
F8 Reporting Person serves as trustee for BTR 2020 GST Trust f/b/o Elisabeth M. Rankin.
F9 Held by Trust dated December 18, 1997. Reporting Person's Spouse is Co-Trustee for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial ownership of all such shares.
F10 Held by Trust dated December 30, 2015. Reporting Person serves as 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 September 11, 2000 (Posterity Trust) for the benefit of the daughter. Reporting Person's spouse 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's Spouse 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 proportionate interest in shares held by Rankin Management, Inc. ("RMI).
F14 Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin.
F15 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.
F16 Represents the 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 Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Anne F. Rankin.
F18 Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Elisabeth M. Rankin.
F19 GP. Represents Reporting Person's proportionate limited partnership interest in shares of Rankin Associates IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.
F20 Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.