Roger F. Rankin - Sep 15, 2023 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
Sep 15, 2023
Transactions value $
$0
Form type
4
Date filed
9/19/2023, 11:52 AM
Previous filing
Aug 21, 2023
Next filing
Oct 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NC Class A Common Stock Other -11.3K -97.78% 257 Sep 15, 2023 By Trust F1, F2, F3
holding NC Class A Common Stock 31.7K Sep 15, 2023 By Assoc II/Spouse F4
holding NC Class A Common Stock 6.61K Sep 15, 2023 By Spouse/Trust F5
holding NC Class A Common Stock 2.19K Sep 15, 2023 By Trust/Daughter 1 F6
holding NC Class A Common Stock 2.19K Sep 15, 2023 By Trust/Daughter 2 F7
holding NC Class A Common Stock 2.05K Sep 15, 2023 By Trust (Daughter 2) F8
holding NC Class A Common Stock 200 Sep 15, 2023 By Trust/Daughter 2 F9
holding NC Class A Common Stock 16.7K Sep 15, 2023 By Assoc II/Daughter 2 F10
holding NC Class A Common Stock 4.94K Sep 15, 2023 By Assoc II/Daughter 2 F11
holding NC Class A Common Stock 368 Sep 15, 2023 By Assoc II/Daughter 2 F12
holding NC Class A Common Stock 4.13K Sep 15, 2023 By Trust (Daughter 1) F13
holding NC Class A Common Stock 14.9K Sep 15, 2023 By Assoc II/Daughter 1 F10
holding NC Class A Common Stock 3.06K Sep 15, 2023 By Assoc II/Daughter 1 F11
holding NC Class A Common Stock 2.18K Sep 15, 2023 By Assoc II/Daughter 1 F14
holding NC Class A Common Stock 1.98K Sep 15, 2023 By 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
transaction NC Class B Common Stock Other +11.3K +5.85% 205K Sep 15, 2023 Class A Common Stock 11.3K $0.00 By Trust F1, F2, F3
holding NC Class B Common Stock 75.5K Sep 15, 2023 Class A Common Stock 75.5K By Assoc I/Spouse F2, F16
holding NC Class B Common Stock 85.1K Sep 15, 2023 Class A Common Stock 85.1K By Assoc IV/Spouse F2, F17
holding NC Class B Common Stock 9.43K Sep 15, 2023 Class A Common Stock 9.43K By Trust/Daughter 1 F2, F18
holding NC Class B Common Stock 9.43K Sep 15, 2023 Class A Common Stock 9.43K By Trust/Daughter 2 F2, F19
holding NC Class B Common Stock 7.86K Sep 15, 2023 Class A Common Stock 7.86K By Trust/Daughter 1 F2, F6
holding NC Class B Common Stock 7.86K Sep 15, 2023 Class A Common Stock 7.86K By Trust/Daughter 2 F2, F7
holding NC Class B Common Stock 25 Sep 15, 2023 Class A Common Stock 25 $0.00 By GP F2, F20
holding NC Class B Common Stock 4.81K Sep 15, 2023 Class A Common Stock 4.81K $0.00 By Assoc I F2, F21
* 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 February 14, 2017, as amended.
F2 N/A
F3 Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin.
F4 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.
F5 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.
F6 Reporting Person serves as trustee for BTR 2020 GST Trust f/b/o Anne F. Rankin.
F7 Reporting Person serves as trustee for BTR 2020 GST Trust f/b/o Elisabeth M. Rankin.
F8 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.
F9 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.
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's spouse 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's spouse is the trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F12 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 30, 2015 for the benefit of the daughter. Reporting Person is the trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F13 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.
F14 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.
F15 Represents the Reporting Person's proportionate interest in shares held by Rankin Management, Inc. ("RMI).
F16 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.
F17 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.
F18 Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Anne F. Rankin.
F19 Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Elisabeth M. Rankin.
F20 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.
F21 Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.