Filing Details
- Accession Number:
- 0001127602-21-002516
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-26 14:02:33
- Reporting Period:
- 2020-12-31
- Accepted Time:
- 2021-01-26 14:02:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 789933 | Nacco Industries Inc | NC | Household Appliances (3630) | 341505819 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1247868 | Rankin Helen Butler | Nacco Industries, Inc. 5875 Landerbrook Drive, Ste. 220 Mayfield Heights OH 44124 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2020-12-31 | 5,398 | $0.00 | 5,398 | No | 5 | G | Indirect | By RAII |
| Class A Common Stock | Disposition | 2020-12-31 | 5,398 | $0.00 | 0 | No | 5 | G | Indirect | By RAII |
| Class A Common Stock | Disposition | 2020-12-31 | 4,054 | $0.00 | 4,055 | No | 5 | G | Indirect | By RAII/Spouse |
| Class A Common Stock | Acquisiton | 2020-12-31 | 4,054 | $0.00 | 4,054 | No | 5 | G | Indirect | By Trust/Daughter |
| Class A Common Stock | Disposition | 2020-12-31 | 4,055 | $0.00 | 0 | No | 5 | G | Indirect | By RAII/Spouse |
| Class A Common Stock | Acquisiton | 2020-12-31 | 4,055 | $0.00 | 4,055 | No | 5 | G | Indirect | By Trust/Son |
| Class A Common Stock | Acquisiton | 2021-01-22 | 2,191 | $15.19 | 2,191 | No | 4 | P | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Indirect | By RAII |
| No | 5 | G | Indirect | By RAII |
| No | 5 | G | Indirect | By RAII/Spouse |
| No | 5 | G | Indirect | By Trust/Daughter |
| No | 5 | G | Indirect | By RAII/Spouse |
| No | 5 | G | Indirect | By Trust/Son |
| No | 4 | P | Indirect | By Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Disposition | 2020-12-31 | 24,729 | $0.00 | 24,729 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-12-31 | 24,729 | $0.00 | 24,729 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-12-31 | 1,222 | $0.00 | 1,222 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-01-22 | 668 | $15.19 | 668 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-01-22 | 6,161 | $15.19 | 6,161 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-01-22 | 5,967 | $15.19 | 5,967 | $0.00 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2021-01-22 | 702 | $15.19 | 702 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 44,729 | No | 5 | G | Indirect | ||
| 20,000 | No | 5 | G | Indirect | ||
| 1,222 | No | 5 | G | Indirect | ||
| 1,890 | No | 4 | P | Indirect | ||
| 26,161 | No | 4 | P | Indirect | ||
| 7,857 | No | 4 | P | Indirect | ||
| 42,529 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 9,052 | Indirect | By RAII/Child 1 |
| Class A Common Stock | 4,083 | Indirect | By Trust-Child 1 |
| Class A Common Stock | 9,208 | Indirect | By RAII/Child 2 |
| Class A Common Stock | 3,927 | Indirect | By Trust-Child 2 |
| Class A Common Stock | 68,094 | Indirect | By Trust |
| Class A Common Stock | 2,800 | Indirect | By Spouse/IRA |
| Class A Common Stock | 154,114 | Indirect | By Spouse/Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | $0.00 | 9,195 | 9,195 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 9,195 | 9,195 | Indirect |
Footnotes
- N/A
- Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.
- Represents the Reporting Person's spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P. Reporting Person disclaims beneficial ownership of all such shares.
- Reporting Person serves as trustee of the JCB 2020 GST Trust for the benefit of Clara R. Butler.
- Reporting Person serves as trustee of the JCB 2020 GST Trust for the benefit of Griffin B. Butler.
- BTR RAII -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a promissory note in the principal amount of $327,007.89 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among members of the Rankin family.
- Held by BTR 2020 GST Trust for the benefit of Reporting Person.
- Represents the Reporting Person's child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.. Reporting Person disclaims beneficial ownership of all such shares.
- Held by Trust, John C. Butler, Jr., Trustee, for the benefit of Reporting Person's minor child. Reporting Person disclaims beneficial ownership of all such shares.
- Held by Trust for the benefit of Reporting Person.
- Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse. Reporting Person disclaims beneficial ownership of all such shares.
- Reporting Person's spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust. Reporting Person disclaims beneficial ownership of all such shares.
- RAI-Represents Reporting Person's limited partnership interest in shares held by Rankin Associates I, L.P.
- BTR RAI -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a promissory note in the principal amount of $99,671.39 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among members of the Rankin family.
- AMR RAI -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a promissory note in the principal amount of $919,615.17 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among members of the Rankin family.
- BTR RAIV -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a promissory note in the principal amount of $890,720.11 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among members of the Rankin family.
- AMR RAIV -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a promissory note in the principal amount of $104,771.62 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among members of the Rankin family.
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