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NACCO INDUSTRIES INC — Director's Dealing 2012
Aug 31, 2012
33254_dirs_2012-08-31_19bee7ec-cb3c-4a07-9b52-11923a4cf782.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NACCO INDUSTRIES INC (NC)
CIK: 0000789933
Period of Report: 2012-08-30
Reporting Person: RANKIN ALFRED M ET AL (Director, CEO, Group Member)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-06-22 | Class A Common Stock | J | 30000 | — | Disposed | 141440 | Indirect |
| 2012-06-22 | Class A Common Stock | J | 30000 | — | Acquired | 30000 | Indirect |
| 2012-06-22 | Class A Common Stock | G | 12500 | — | Disposed | 128940 | Indirect |
| 2012-06-22 | Class A Common Stock | G | 22016 | — | Disposed | 369 | Indirect |
| 2012-08-30 | Class A Common Stock | J | 630 | — | Disposed | 29370 | Indirect |
| 2012-08-30 | Class A Common Stock | J | 630 | — | Acquired | 630 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-06-22 | Class B Common Stock | $ | J | 60000 | Disposed | Class A Common Stock (60000) | Indirect | |
| 2012-06-22 | Class B Common Stock | $ | J | 60000 | Acquired | Class A Common Stock (60000) | Indirect | |
| 2012-06-22 | Class B Common Stock | $0 | G | 61636 | Disposed | Class A Common Stock (61636) | Indirect | |
| 2012-06-22 | Class B Common Stock | $ | G | 40000 | Disposed | Class A Common Stock (40000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 37354 | Indirect |
| Class A Common Stock | 14160 | Indirect |
| Class A Common Stock | 2265 | Indirect |
| Class A Common Stock | 1975 | Indirect |
| Class A Common Stock | 27008 | Indirect |
| Class A Common Stock | 18400 | Indirect |
| Class A Common Stock | 0 | Indirect |
| Class A Common Stock | 0 | Indirect |
| Class A Common Stock | 6 | Indirect |
| Class A Common Stock | 31269 | Indirect |
| Class A Common Stock | 15705 | Indirect |
| Class A Common Stock | 0 | Indirect |
| Class A Common Stock | 0 | Indirect |
| Class A Common Stock | 621 | Indirect |
| Class A Common Stock | 0 | Indirect |
| Class A Common Stock | 0 | Indirect |
| Class A Common Stock | 0 | Indirect |
| Class A Common Stock | 2116 | Indirect |
| Class A Common Stock | 21006 | Indirect |
Footnotes
F1: Transfer of shares into GRAT.
F2: Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
F3: GRAT2012-Reporting Person serves as Trustee of the Alfred M. Rankin, Jr. 2012 Grantor Retained Annuity Trust.
F4: Represents Reporting Person's Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
F5: Transfer
F6: Reporting Person serves as Trustee of the Clara T. Rankin Remainder Unitrust#2 u/a/d 1/5/77. Reporting Person disclaims benefic
ial ownership of all such shares.
F7: Reporting Person serves as Trustee of a Trust for the benefit of the Clara L.T. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F8: GRAT2011-Reporting Person serves as Trustee of the Alfred M. Rankin, Jr. 2011 Grantor Retained Annuity Trust.
F9: Held in an Individual Retirement Account for the benefit of the Reporting Person.
F10: Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P.
F11: 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.
F12: 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.
F13: 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.
F14: Reporting Person serves as Trustee of Irrevocable Trust u/a/d 9/22/88, for the Benefit of Charities for a term of 20 years and then to grantor's grandchildren. Reporting Person disclaims beneficial ownership of all such shares.------
F15: 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.
F16: Represents the proportionate limited partnership interest in shares held by Rankin Associates II, L.P., which is held in a trust for the benefit of Bruce T. Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F17: (BTR) Reporting Person serves as Trustee of brother's trust. The Trust includes proportionate limited partnership interest in shares held by Rankin Associates I, II and IV L.P. and Class A and B Common Stock; all of which are held in a Trust for the benefit of Reporting Person's brother, Bruce T. Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F18: Represents the proportionate limited partnership interest in shares held by Rankin Associates II, L.P., which is held in a qualified annuity interest trust for the benefit of Bruce Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F19: (CTR RAIV) Prepresents the proportionate limited partnership interest in shares held by Rankin Associates IV, L.P., which is held in a trust for the benefit of Clara Rankin. Reporting Person serves as the Trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares.
F20: Represents shares which are held in a qualified annuity interest trust for the benefit of Clara LT Rankin. Reporting Person disclaims all such shares.
F21: Represents the proportionate limited partnership interest in shares held by Rankin Associates IV, L.P., which is held in a qualified annuity interest trust for the benefit of Clara Rankin. Reporting Person disclaims beneficial ownership of all such shares.
F22: 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.
F23: Reporting Person's spouse serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims benefic
ial ownership of all such shares.
F24: N/A
F25: 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.