Alison A. Rankin - 02 Oct 2023 Form 4 Insider Report for NACCO INDUSTRIES INC (NC)

Role
Member of a group
Signature
/s/ Matthew J. Dilluvio, attorney-in-fact
Issuer symbol
NC
Transactions as of
02 Oct 2023
Net transactions value
$0
Form type
4
Filing time
03 Oct 2023, 15:27:23 UTC
Previous filing
19 Sep 2023
Next filing
12 Dec 2023
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 Award +810 +315% 1,067 02 Oct 2023 By Spouse/Trust F13, F14, F15
holding NC Class A Common Stock 31,658 02 Oct 2023 By Assoc II F1
holding NC Class A Common Stock 6,613 02 Oct 2023 By Trust F2
holding NC Class A Common Stock 2,191 02 Oct 2023 By Trust/Daughter 1 F3
holding NC Class A Common Stock 2,191 02 Oct 2023 By Trust/Daughter 2 F4
holding NC Class A Common Stock 2,046 02 Oct 2023 By Trust (Daughter 2) F5
holding NC Class A Common Stock 200 02 Oct 2023 By Trust/Daughter 2 F6
holding NC Class A Common Stock 16,738 02 Oct 2023 By Assoc II/Daughter 2 F7
holding NC Class A Common Stock 4,944 02 Oct 2023 By Assoc II/Daughter 2 F8
holding NC Class A Common Stock 368 02 Oct 2023 By Assoc II/Daughter 2 F9
holding NC Class A Common Stock 4,133 02 Oct 2023 By Trust (Daughter 1) F10
holding NC Class A Common Stock 14,931 02 Oct 2023 By Assoc II/Daughter 1 F7
holding NC Class A Common Stock 3,056 02 Oct 2023 By Assoc II/Daughter 1 F8
holding NC Class A Common Stock 2,175 02 Oct 2023 By Assoc II/Daughter 1 F11
holding NC Class A Common Stock 1,975 02 Oct 2023 By Spouse/RMI (Delaware) F12

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 75,504 02 Oct 2023 Class A Common Stock 75,504 By Assoc I F14, F16
holding NC Class B Common Stock 85,056 02 Oct 2023 Class A Common Stock 85,056 By Assoc IV F14, F17
holding NC Class B Common Stock 9,431 02 Oct 2023 Class A Common Stock 9,431 By Trust/Daughter 1 F14, F18
holding NC Class B Common Stock 9,431 02 Oct 2023 Class A Common Stock 9,431 By Trust/Daughter 2 F14, F19
holding NC Class B Common Stock 7,858 02 Oct 2023 Class A Common Stock 7,858 By Trust/Daughter 1 F3, F14
holding NC Class B Common Stock 7,858 02 Oct 2023 Class A Common Stock 7,858 By Trust/Daughter 2 F4, F14
holding NC Class B Common Stock 25 02 Oct 2023 Class A Common Stock 25 $0.000000 By GP F14, F20
holding NC Class B Common Stock 4,808 02 Oct 2023 Class A Common Stock 4,808 $0.000000 By Assoc I/Spouse F14, F21
holding NC Class B Common Stock 204,919 02 Oct 2023 Class A Common Stock 204,919 $0.000000 By Spouse/Trust F14, F15
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
F2 Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin.
F3 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.
F4 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.
F5 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.
F6 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.
F7 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.
F8 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.
F9 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's spouse is the trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F10 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.
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 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.
F12 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.
F13 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.
F14 N/A
F15 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.
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.