-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JnStyuAgi6Xj2KjwEwwp+waKi1MRIEzuvnwahn/hscSVVBEtm0F8T2uin3RGRLm4 6m1kwh5jV0LmxGlntuAktA== 0000950152-97-000164.txt : 19970113 0000950152-97-000164.hdr.sgml : 19970113 ACCESSION NUMBER: 0000950152-97-000164 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 19970110 SROS: NONE GROUP MEMBERS: ALFRED M. RANKIN GROUP MEMBERS: BRUCE T. RANKIN GROUP MEMBERS: CLAIBORNE R. RANKIN GROUP MEMBERS: CLARA L. T. RANKIN GROUP MEMBERS: CTR FAMILY ASSOCIATES LP GROUP MEMBERS: RANKIN MANAGEMENT INC. GROUP MEMBERS: ROGER F. RANKIN GROUP MEMBERS: THOMAS T. RANKIN GROUP MEMBERS: VICTOIRE G. RANKIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NACCO INDUSTRIES INC CENTRAL INDEX KEY: 0000789933 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL TRUCKS TRACTORS TRAILERS & STACKERS [3537] IRS NUMBER: 341505819 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-38001 FILM NUMBER: 97504121 BUSINESS ADDRESS: STREET 1: 5875 LANDERBROOK DR CITY: MAYFIELD HTS STATE: OH ZIP: 44124-4017 BUSINESS PHONE: 2164499600 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CTR FAMILY ASSOCIATES LP CENTRAL INDEX KEY: 0001027543 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 341845745 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 5875 LANDERBROOK DRIVE STREET 2: SUITE 300 CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124-4017 BUSINESS PHONE: 2164499650 MAIL ADDRESS: STREET 1: 5875 LANDERBROOK DRIVE STREET 2: SUITE 300 CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124-4017 SC 13D/A 1 NACCO INDUSTRIES / CTR FAMILY ASSOC. SC 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* NACCO INDUSTRIES, INC. - -------------------------------------------------------------------------------- (NAME OF ISSUER) CLASS B COMMON, PAR VALUE $1.00 PER SHARE - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 629579 20 02 - -------------------------------------------------------------------------------- (CUSIP NUMBER) ALFRED M. RANKIN, JR. 5875 LANDERBROOK DRIVE MAYFIELD HEIGHTS, OHIO 44124-4017 (216) 449-9600 - -------------------------------------------------------------------------------- (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) DECEMBER 31, 1996 - -------------------------------------------------------------------------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) IF THE FILING PERSON HAS PREVIOUSLY FILED A STATEMENT ON SCHEDULE 13G TO REPORT THE ACQUISITION WHICH IS THE SUBJECT OF THIS AMENDED AND RESTATED SCHEDULE 13D, AND IS FILING THIS SCHEDULE BECAUSE OF RULE 13D-1(B)(3) OR (4), CHECK THE FOLLOWING BOX [ ]. NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 16 Pages) - ------------ * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 2 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 2 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CTR Family Associates, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Georgia - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 3 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Rankin Management, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Georgia - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 472,371 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 472,371 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 472,371 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 27.9% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 4 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Clara L. T. Rankin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 7,000 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 479,371 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 479,371 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 28.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 5 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 5 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Alfred M. Rankin, Jr. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 472,371 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 472,371 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 27.9% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 6 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 6 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Thomas T. Rankin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 71,516 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 71,516 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 472,371 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 543,887 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 32.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 7 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 7 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Claiborne R. Rankin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 77,318 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 77,318 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 472,371 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 549,689 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 32.4% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 8 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 8 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Roger F. Rankin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 78,198 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 78,198 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 472,371 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 550,569 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 32.5% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 9 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 9 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bruce T. Rankin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 472,371 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 472,371 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 27.9% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 10 - -------------------------------- ---------------------------------- CUSIP No. 629579 20 02 13D Page 10 of 16 Pages ----------------- ---- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Victoire G. Rankin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - See Item 3 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH REPORTING ------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 472,371 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 472,371 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 27.9% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 11 SCHEDULE 13D - ------------------------- ---------------------------------- CUSIP NO. 629579 20 02 Page 11 of 16 Pages - ------------------------- ---------------------------------- The Schedule 13D filed on November 25, 1996 (the "Schedule 13D") on behalf of the undersigned Reporting Persons, as amended by Amendment No. 1 thereto, filed on November 26, 1996, is hereby further amended as follows: ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION ------------------------------------------------- The third paragraph of Item 3 of the Schedule 13D is hereby deleted and replaced in its entirety by the following: The Partnership acquired the NACCO Class B Common initially held by the Partnership as capital contributions from the Partners in connection with the formation of the Partnership and the execution and delivery of the Partnership Agreement. The Partnership acquired 46,000 additional shares of NACCO Class B Common as additional capital contributions from Clara L.T. Rankin on December 31, 1996. Ms. Rankin acquired the 46,000 shares of NACCO Class B Common so contributed to the Partnership as follows: (a) Pursuant to an Exchange Agreement, dated as of November 26, 1996 (the "November 1996 Exchange Agreement," a copy of which is attached hereto as Exhibit 11), Ms. Rankin exchanged 30,000 shares of NACCO Class A Common to acquire 30,000 shares of NACCO Class B Common from a charitable lead trust created by Frank E. Taplin, Jr., pursuant to a trust agreement dated December 15, 1976, for the benefit of the grandchildren of Frank E. Taplin, Jr. (the "Frank E. Taplin, Jr. Charitable Lead Trust"); and (b) On December 31, 1996, Ms. Rankin acquired an aggregate of 16,000 shares of NACCO Class B Common by exchanging 1,600 shares of NACCO Class A Common for 1,600 shares of NACCO Class B Common with each of 10 trusts, all of which were created by Ms. Rankin pursuant to a trust agreement dated December 28, 1976 for the benefit of Ms. Rankin's grandchildren (the "Rankin Grandchildren Trusts"). ITEM 4. PURPOSE OF TRANSACTION ---------------------- (a) Item 4 of the Schedule 13D is amended by inserting the following sentence at the end of the first paragraph thereof: Clara L.T. Rankin's additional contribution of 46,000 shares of NACCO Class B Common on December 31, 1996 was in furtherance of the above described purposes and was contemplated at the time of the initial filing of this Schedule 13D. (b) Item 4 of the Schedule 13D is further amended by deleting the first word of the second paragraph thereof and inserting the following at the beginning of the second paragraph thereof: Other than as set forth in this Schedule 13D, as amended, the 12 SCHEDULE 13D - ------------------------- ---------------------------------- CUSIP NO. 629579 20 02 Page 12 of 16 Pages - ------------------------- ---------------------------------- ITEM 5. INTEREST IN SECURITIES OF THE ISSUER ------------------------------------ Section (a)-(b) of Item 5 of the Schedule 13D is deleted and replaced in its entirety by the following new Section (a)-(b): (a)-(b) Pursuant to the Act and regulations thereunder the Reporting Persons may be deemed as a group to have acquired beneficial ownership of 472,371 shares of the NACCO Class B Common, the aggregate number of shares of NACCO Class B Common which are held by the Partnership, representing 27.9% of the NACCO Class B Common outstanding as of January 3, 1997. Each of the Reporting Persons has, as of January 3, 1997, sole or shared power to vote or to direct the vote and sole or shared power to dispose or to direct the disposition of NACCO Class B Common as follows: CTR FAMILY ASSOCIATES, L.P. Although the Partnership holds the 472,371 shares of NACCO Class B Common contributed by the Partners, it does not have any power to vote or to dispose of shares of NACCO Class B Common. Voting control of the NACCO Class B Common is held by RMI and the power to dispose of the NACCO Class B Common is shared by RMI and the Partners, all as more fully described below. RANKIN MANAGEMENT, INC. RMI has the sole power to vote 472,371 shares of NACCO Class B Common, and has shared power to dispose of the same 472,371 shares of NACCO Class B Common, which constitutes approximately 27.9% of the outstanding Class B Common. RMI exercises such powers by action of its board of directors, which acts by majority vote. CLARA L. T. RANKIN. Ms. Rankin shares the power to dispose of 472,371 shares of NACCO Class B Common with RMI and the Reporting Individuals. In addition, Ms. Rankin has a reversionary interest in 7,000 shares of NACCO Class B Common held by the an irrevocable trust created by the Agreement dated December 18, 1963, with National City Bank, a national banking association ("NCB"), as trustee, for the benefit of Elizabeth E. Brown. Ms. Rankin, as an advisor to such trust, shares with NCB the power to vote and dispose of such 7,000 shares. Collectively, the shares of NACCO Class B Common in which Ms. Rankin shares the power to vote and to dispose constitute approximately 28.3% of the outstanding NACCO Class B Common. NCB is a national banking association with its principal location at 1900 East 9th Street, Cleveland, Ohio 44113. During the last five years, NCB has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and has not been a party to any civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which NCB was or is subject to a judgment, decree, or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ALFRED M. RANKIN, JR. Mr. Rankin shares the power to dispose of 472,371 shares of NACCO Class B Common with RMI and the Reporting Individuals, which constitutes approximately 27.9% of the outstanding NACCO Class B Common. 13 SCHEDULE 13D - ------------------------- ---------------------------------- CUSIP NO. 629579 20 02 Page 13 of 16 Pages - ------------------------- ---------------------------------- THOMAS T. RANKIN. Mr. Rankin has the sole power to vote and to dispose of 71,516 shares of NACCO Class B Common, including 3,187 shares of NACCO Class B Common held as custodian for a minor son, and has shared power to dispose of 472,371 shares of NACCO Class B Common, which together constitute approximately 32.1% of the outstanding NACCO Class B Common. CLAIBORNE R. RANKIN. Mr. Rankin has the sole power to vote and to dispose of 77,318 shares of NACCO Class B Common, including 650 shares of NACCO Class B Common held as custodian for a minor daughter, 2,408 shares of NACCO Class B Common held as custodian for a daughter and 1,630 shares of NACCO Class B Common held as custodian for a minor son, and has shared power to dispose of 472,371 shares of NACCO Class B Common, which together constitute approximately 32.4% of the outstanding NACCO Class B Common. ROGER F. RANKIN. Mr. Rankin has the sole power to vote and to dispose of 78,198 shares of NACCO Class B Common, and has shared power to dispose of 472,371 shares of NACCO Class B Common, which together constitute approximately 32.5% of the outstanding NACCO Class B Common. BRUCE T. RANKIN. Mr. Rankin has shared power to dispose of 472,371 shares of NACCO Class B Common, which constitutes approximately 27.9% of the outstanding NACCO Class B Common. VICTOIRE G. RANKIN. Mrs. Rankin has shared power to dispose of 472,371 shares of NACCO Class B Common, which constitutes approximately 27.9% of the outstanding NACCO Class B Common. Section (c) of Item 5 of the Schedule 13D is amended by adding the following at the end thereof: There have been no transactions in the NACCO Class B Common by any of the persons named in response to Item 2 hereof in the period between November 25, 1996 and the date of the filing of this Amendment No. 2, other than the following: (1) On November 26, 1996, Ms. Rankin acquired 30,000 shares of NACCO Class B Common from the Frank E. Taplin, Jr. Charitable Lead Trust in exchange for 30,000 shares of NACCO Class A Common pursuant to the November 1996 Exchange Agreement, a copy of which is attached hereto as Exhibit 11 and incorporated herein by reference in its entirety. Ms. Rankin subsequently transferred such shares of NACCO Class B Common to the Partnership as additional capital contributions, as more fully described in Item 3 hereto, which is incorporated herein by reference. (2) On December 31, 1996, Ms. Rankin acquired an aggregate of 16,000 shares of NACCO Class B Common by exchanging 1,600 shares of NACCO Class A Common for 1,600 shares of NACCO Class B Common with each of the 10 Rankin Grandchildren Trusts. Ms. Rankin subsequently transferred such shares of NACCO Class 14 SCHEDULE 13D - ------------------------- ---------------------------------- CUSIP NO. 629579 20 02 Page 14 of 16 Pages - ------------------------- ---------------------------------- B Common to the Partnership as additional capital contributions, as more fully described in Item 3 hereto, which is incorporated herein by reference. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH ------------------------------------------------------------- RESPECT TO SECURITIES OF THE ISSUER ----------------------------------- (a) Section (b) of Item 6 of the Schedule 13D is hereby amended by inserting the following new paragraph at the end of Section (b): Effective as of December 30, 1996, the Partners amended the Partnership Agreement to reflect that Clara L.T. Rankin had subscribed for additional Partnership Interests, that Ms. Rankin had transferred some Partnership Interests as gifts to existing Partners and to permit the managing partner to amend, without the consent of other Partners, Schedules A and B to the Partnership Agreement as may be necessary to reflect transfers of Partnership Interests and the addition of new Partners. A copy of the First Amendment to the Partnership Agreement is attached hereto as Exhibit 12 and incorporated herein by reference in its entirety. (b) The current Section (e) of Item 6 of the Schedule 13D is hereby redesignated as Section (f) and the following paragraph is hereby inserted as new Section (e): The Frank E. Taplin, Jr. Charitable Lead Trust and Clara L.T. Rankin entered into the November 1996 Exchange Agreement as of November 26, 1996, under the terms of which Ms. Rankin exchanged 30,000 shares of NACCO Class A Common to acquire 30,000 shares of NACCO Class B Common from the Frank E. Taplin, Jr. Charitable Lead Trust. A copy of the November 1996 Exchange Agreement is attached hereto as Exhibit 11 and incorporated herein by reference in its entirety. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS -------------------------------- Item 7 of the Schedule 13D is hereby amended as follows: (Exhibit 10) Agreement pursuant to Rule 13d-1(f)(1)(iii), at page 16 of the manually signed and sequentially paginated copy of this Statement. (Exhibit 11) Exchange Agreement, dated as of November 26, 1996 (Exhibit 12) First Amendment to Limited Partnership Agreement of CTR Family Associates, L.P., dated as of December 30, 1996 15 SCHEDULE 13D - ------------------------- ---------------------------------- CUSIP NO. 629579 20 02 Page 15 of 16 Pages - ------------------------- ---------------------------------- After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated: January 10, 1997 Name: CTR FAMILY ASSOCIATES, L.P. By: RANKIN MANAGEMENT, INC., its Managing Partner By: /s/ Alfred M. Rankin, Jr. --------------------------------------------- Alfred M. Rankin, Jr., President Name: RANKIN MANAGEMENT, INC. By: /s/ Alfred M. Rankin, Jr. --------------------------------------------- Alfred M. Rankin, Jr., President /s/ Alfred M. Rankin, Jr. ------------------------------------------------ Name: ALFRED M. RANKIN, JR. Name: RANKIN MANAGEMENT, INC. By: /s/ Alfred M. Rankin, Jr. --------------------------------------------- Alfred M. Rankin, Jr., President Attorney-in-Fact for Clara L. T. Rankin* Attorney-in-Fact for Victoire G. Rankin* Attorney-in-Fact for Thomas T. Rankin* Attorney-in-Fact for Claiborne R. Rankin* Attorney-in-Fact for Roger F. Rankin* Attorney-in-Fact for Bruce T. Rankin* - --------------------------------- * The powers of attorney authorizing the above-named person to act on behalf of each of the foregoing Reporting Persons are included in Exhibit 2 at page 16 of such Exhibit and in Exhibit 4 at pages 28 through 29 of such Exhibit. EX-10 2 EXHIBIT 10 1 SCHEDULE 13D - ------------------------- ---------------------------------- CUSIP NO. 629579 20 02 Page 16 of 16 Pages - ------------------------- ---------------------------------- EXHIBIT 10 ---------- Pursuant to Rule 13d-1(f)(1)(iii) of Regulation 13D-G of the General Rules and Regulations under the Securities Exchange Act of 1934, the undersigned agree that the statement to which this Exhibit is attached is filed on behalf of each of the undersigned. Dated: January 10, 1997 Name: CTR FAMILY ASSOCIATES, L.P. By: RANKIN MANAGEMENT, INC., its Managing Partner By: /s/ Alfred M. Rankin, Jr. -------------------------------------------- Alfred M. Rankin, Jr., President Name: RANKIN MANAGEMENT, INC. By: /s/ Alfred M. Rankin, Jr. -------------------------------------------- Alfred M. Rankin, Jr., President /s/ Alfred M. Rankin, Jr. ------------------------------------------------- Name: ALFRED M. RANKIN, JR. Name: RANKIN MANAGEMENT, INC. By: /s/ Alfred M. Rankin, Jr. -------------------------------------------- Alfred M. Rankin, Jr., President Attorney-in-Fact for Clara L. T. Rankin* Attorney-in-Fact for Victoire G. Rankin* Attorney-in-Fact for Thomas T. Rankin* Attorney-in-Fact for Claiborne R. Rankin* Attorney-in-Fact for Roger F. Rankin* Attorney-in-Fact for Bruce T. Rankin* - --------------------------------- * The powers of attorney authorizing the above-named person to act on behalf of each of the foregoing Reporting Persons are included in Exhibit 2 at page 16 of such Exhibit and in Exhibit 4 at pages 28 through 29 of such Exhibit. EX-11 3 EXHIBIT 11 1 Exhibit 11 EXCHANGE AGREEMENT THIS EXCHANGE AGREEMENT ("Agreement"), dated as of November 26, 1996, by and between National City Bank as Trustee for the Trust created under the Agreement dated December 15, 1976 for the benefit of the grandchildren of Frank E. Taplin (the "Taplin Trust"), and National City Bank, Trustee under the Agreement, dated July 12, 1967, as supplemented, amended and restated, with Clara T. Rankin, creating a trust for the benefit of such individual (the "Rankin Trust"). W I T N E S S E T H: WHEREAS, the Taplin Trust is the beneficial owner of 30,000 shares (the "Class B Shares") of Class B Common Stock, par value $1.00 per share ("Class B Common"), of NACCO Industries, Inc., a Delaware corporation ("NACCO"); and WHEREAS, the Rankin Trust is the beneficial owner of 30,000 shares (the "Class A Shares") of Class A Common Stock, par value $1.00 per share, of NACCO; and WHEREAS, the Class B Shares are subject to restrictions on transfer pursuant to NACCO's Certificate of Incorporation and that certain Stockholders' Agreement ("Stockholders' Agreement"), dated as of March 15, 1990, between NACCO, Key Bank as depository ("Depository") and certain holders of Class B Common; and WHEREAS, the Taplin Trust wishes to exchange the Class B Shares for the Class A Shares owned by the Rankin Trust; and WHEREAS, the Rankin Trust wishes to exchange the Class A Shares for the Class B Shares owned by the Taplin Trust; NOW, THEREFORE, in consideration of the mutual promises hereinafter set forth and other good and valuable consideration had and received, the parties hereto, upon the terms set forth herein, hereby agree as follows: 1. EXCHANGE. Upon the terms set forth herein, the Taplin Trust hereby conveys the Class B Shares to the Rankin Trust, and the Rankin Trust hereby conveys the Class A Shares to the Taplin Trust, in each case, free of any adverse claim, other than the restrictions on transfer on the Class B Shares referenced in Section 3. The Taplin Trust hereby delivers to the Rankin Trust certificates representing the Class B Shares which are duly endorsed, or accompanied by stock powers duly endorsed, by the Taplin Trust for transfer, or other evidence of transfer, together with such documentation as the Rankin Trust or the Depository may require to confirm that the transfer is permitted by Section 2.1 of the Stockholders' Agreement. The Rankin Trust hereby delivers to the Taplin Trust certificates representing the Class A Shares which are duly endorsed, or accompanied by stock powers duly endorsed, by the Rankin Trust for transfer, or other evidence of transfer, together with such documentation as the Taplin Trust may require. 2. CONSIDERATION. The value of the Class A Shares shall be deemed to be equal to the value of the Class B Shares. Accordingly, the exchange of the Class A Shares for the Class B Shares, together with the representations of the parties hereunder, shall constitute full and adequate consideration for the transactions contemplated hereby. 2 3. REPRESENTATIONS BY THE TAPLIN TRUST. The Taplin Trust represents to the Rankin Trust that (a) the Taplin Trust has good, valid and marketable title to the Class B Shares, free and clear of all adverse claims, except for the restrictions on transfer set forth in NACCO's Certificate of Incorporation and in the Stockholders' Agreement, and (b) the Taplin Trust has full power and authority to executed and deliver this Agreement and to consummate the transactions contemplated hereby. The foregoing representations shall survive indefinitely. The Taplin Trust hereby indemnifies and agrees to hold the Rankin Trust harmless from and against any and all liabilities resulting from or arising out of any breach of the foregoing representations. 4. REPRESENTATIONS BY THE RANKIN TRUST. The Rankin Trust represents to the Taplin Trust that (a) the Rankin Trust has good, valid and marketable title to the Class A Shares, free and clear of all adverse claims, and (b) the Rankin Trust has full power and authority to executed and deliver this Agreement and to consummate the transactions contemplated hereby. The foregoing representations shall survive indefinitely. The Rankin Trust hereby indemnifies and agrees to hold the Taplin Trust harmless from and against any and all liabilities resulting from or arising out of any breach of the foregoing representations. IN WITNESS WHEREOF, the Taplin Trust and the Rankin Trust have duly executed this Agreement as of the date first above written. "The Taplin Trust" NATIONAL CITY BANK, TRUSTEE FOR THE TRUST CREATED UNDER THE AGREEMENT DATED DECEMBER 15, 1976 FOR THE BENEFIT OF THE GRANDCHILDREN OF FRANK E. TAPLIN By: /s/ Leigh H. Carter ------------------------------------------ Leigh H. Carter Vice President Trust Administration "The Rankin Trust" NATIONAL CITY BANK, TRUSTEE UNDER THE AGREEMENT, DATED JULY 12, 1967, AS SUPPLEMENTED, AMENDED AND RESTATED WITH CLARA T. RANKIN, CREATING A TRUST FOR THE BENEFIT OF SUCH INDIVIDUAL By: /s/ Leigh H. Carter ------------------------------------------ Leigh H. Carter Vice President Trust Administration EX-12 4 EXHIBIT 12 1 Exhibit 12 FIRST AMENDMENT TO LIMITED PARTNERSHIP AGREEMENT THIS FIRST AMENDMENT TO THE LIMITED PARTNERSHIP AGREEMENT (this "Amendment") is made as of the 30th day of December, 1996, by and among RANKIN MANAGEMENT, INC., a Georgia corporation, as General Partner, and the Persons set forth on SCHEDULE A to the Limited Partnership Agreement of CTR Family Associates, L.P. dated as of November 14, 1996 (the "Partnership Agreement"). Recitals -------- A. The Partners desire to amend Schedule A to the Partnership Agreement to reflect that Clara L. T. Rankin ("Mrs. Rankin") has subscribed for additional Interests, paying for such additional Interests with 46,000 shares of NACCO Class B Common Stock received by Mrs. Rankin in exchanges for NACCO Class A Common Stock completed after the formation of the Partnership but contemplated prior to such formation. These transactions complete Mrs. Rankin's original plan to contribute all of her holdings of NACCO Class B Common Stock to the Partnership for common management purposes. B. The Partners desire to further amend Schedule A to the Partnership Agreement to reflect that Mrs. Rankin has transferred some Interests as gifts to existing Limited Partners. C. The Partners desire to amend the Partnership Agreement to permit the Managing Partner, acting without further consent of the Partners, to amend Schedule A and Schedule B to the Partnership Agreement as may be necessary to reflect transfers of Interests and the addition of new Partners. Agreement --------- NOW THEREFORE, the parties hereto agree as follows: 1. Capitalized terms not otherwise defined herein shall have the meaning set forth in the Partnership Agreement. 2. Schedule A to the Partnership Agreement be and hereby is replaced in its entirety with the attached Schedule A. 3. Section 11.7 of the Partnership Agreement is amended by inserting at the end thereof the following sentence: Notwithstanding the immediately preceding sentence, the Managing Partner may, without the consent of any other party, amend Schedule A and Schedule B as necessary to reflect the addition of any new Partners, 2 any additional capital contributions by existing Partners, or any gifts or other transfers of Interests permitted under the terms of this Agreement. 4. This Amendment shall be governed by and construed in accordance with the laws of the State of Georgia. 5. This Amendment may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. IN WITNESS WHEREOF, the Partners have hereunto set their hands and seals as of the day and year first above written. GENERAL PARTNER: RANKIN MANAGEMENT, INC. By: /s/Alfred M. Rankin, Jr. ---------------------------------- President Attest: /s/Roger F. Rankin ------------------------------ Secretary (Corporate Seal) NATIONAL CITY BANK, as Trustee under the Agreement dated September 11, 1973, as supplemented, amended and restated, with Roger F. Rankin, creating a trust for the benefit of such individual Witness /s/ Nancy A. Thauvette By: /s/ Leigh H. Carter, V.P. -------------------------- --------------------------- Witness /s/ Nancy B. Sternad and /s/ Eve A. Weishar, A.V.P. -------------------------- --------------------------- Witness /s/ Nancy A. Thauvette -------------------------- Witness /s/ Nancy B. Sternad Address: 1900 East Ninth Street -------------------------- Cleveland, OH 44114 2 3 NATIONAL CITY BANK, as Trustee under the Agreement dated December 29, 1967, as supplemented, amended and restated, with Thomas T. Rankin, creating a trust for the benefit of such individual Witness /s/ Nancy A. Thauvette By: /s/ Leigh H. Carter, V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad -------------------------- Witness /s/ Nancy A. Thauvette and /s/ Eve A. Weishar, A.V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad -------------------------- THOMAS T. RANKIN, as Trustee under the Agreement dated December 29, 1967, as supplemented, amended and restated, with Thomas T. Rankin, creating a trust for the benefit of such individual Witness /s/Thomas T. Rankin -------------------------- ----------------------------------- Witness Address: 1900 East Ninth St. -------------------------- Cleveland, OH 44114 3 4 NATIONAL CITY BANK, as Trustee under the Agreement dated July 12, 1967, as supplemented, amended and restated, with Clara T. Rankin, creating a trust for the benefit of such individual Witness /s/ Nancy A. Thauvette By: /s/ Leigh H. Carter, V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad -------------------------- Witness /s/ Nancy A. Thauvette and /s/ Eve A. Weishar, A.V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad -------------------------- ALFRED M. RANKIN, JR., as Trustee under the Agreement dated July 12, 1967, as supplemented, amended and restated, with Clara T. Rankin, creating a trust for the benefit of such individual Witness /s/ Suzanne S. Taylor /s/Alfred M. Rankin, Jr. ---------------------------- ---------------------------- Witness /s/ Charles A. Bittenbender Address: 1900 East Ninth St. ---------------------------- Cleveland, OH 44114 4 5 NATIONAL CITY BANK, as Trustee under the Agreement dated July 1, 1969, as supplemented, amended and restated, with Victoire G. Rankin creating a trust for the benefit of such individual Witness /s/ Nancy A. Thauvette By: /s/ Leigh H. Carter, V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad -------------------------- Witness /s/ Nancy A. Thauvette and /s/ Eve A. Weishar, A.V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad --------------------------- Address: 1900 East Ninth St. Cleveland, OH 44114 NATIONAL CITY BANK, as Trustee under the Agreement dated August 30, 1967, as supplemented, amended and restated, with Alfred M. Rankin, Jr. creating a trust for the benefit of such individual Witness /s/ Nancy A. Thauvette By: /s/ Leigh H. Carter, V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad -------------------------- Witness /s/ Nancy A. Thauvette and /s/ Eve A. Weishar, A.V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad ----------------------------- Address: 1900 East Ninth St. Cleveland, OH 44114 5 6 NATIONAL CITY BANK, as Trustee under the Agreement dated June 22, 1971, as supplemented, amended and restated, with Claiborne R. Rankin, creating a trust for the benefit of such individual Witness /s/ Nancy A. Thauvette By: /s/ Leigh H. Carter, V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad -------------------------- Witness /s/ Nancy A. Thauvette and /s/ Eve A. Weishar, A.V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad ----------------------- Address: 1900 East Ninth St. Cleveland, OH 44114 NATIONAL CITY BANK, as Trustee under the Agreement dated August 12, 1974, as supplemented, amended and restated, with Bruce T. Rankin creating a trust for the benefit of such individual Witness /s/ Nancy A. Thauvette By: /s/ Leigh H. Carter, V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad -------------------------- Witness /s/ Nancy A. Thauvette and /s/ Eve A. Weishar, A.V.P. -------------------------- --------------------------------- Witness /s/ Nancy B. Sternad ------------------------ Address: 1900 East Ninth St. Cleveland, OH 44114 6 7 (AS AMENDED 12/31/96) SCHEDULE A PARTNERS / CAPITAL CONTRIBUTIONS
================================================================================================================================= NAME PROPERTY CONTRIBUTED INTEREST ---- -------------------- -------- ================================================================================================================================= GENERAL PARTNER(S) ================================================================================================================================= - --------------------------------------------------------------------------------------------------------------------------------- Rankin Management, Inc. - --------------------------------------------------------------------------------------------------------------------------------- (a) Rankin Management Lot 1 2000 0.4234% - --------------------------------------------------------------------------------------------------------------------------------- (b) Rankin Management Lot 2 2000 0.4234% - --------------------------------------------------------------------------------------------------------------------------------- (c) Rankin Management Lot 3 2000 0.4234% - --------------------------------------------------------------------------------------------------------------------------------- (d) Rankin Management Lot 4 2000 0.4234% - --------------------------------------------------------------------------------------------------------------------------------- Total for Ranking Management, Inc.: 8,000 Shares 1.6936% ================================================================================================================================= LIMITED PARTNERS ================================================================================================================================= - --------------------------------------------------------------------------------------------------------------------------------- Clara L.T. Rankin - --------------------------------------------------------------------------------------------------------------------------------- (a) C.L.T. Rankin Lot 1 135,247 28.6315% - --------------------------------------------------------------------------------------------------------------------------------- (b) C.L.T. Rankin Lot 2 30,000 6.3509% - --------------------------------------------------------------------------------------------------------------------------------- (c) C.L.T. Rankin Lot 3 16,000 3.3872% - --------------------------------------------------------------------------------------------------------------------------------- Total for Clara L.T. Rankin 181,247 Shares 38.3696% - --------------------------------------------------------------------------------------------------------------------------------- Alfred M. Rankin, Jr. - --------------------------------------------------------------------------------------------------------------------------------- (a) A.M. Rankin Lot 1 800 .1694% - --------------------------------------------------------------------------------------------------------------------------------- (b) A.M. Rankin Lot 2 17,570 3.7195% - --------------------------------------------------------------------------------------------------------------------------------- (c) A.M. Rankin Lot 3 59,428 12.5808% - --------------------------------------------------------------------------------------------------------------------------------- (d) A.M. Rankin Lot 4 25,000 5.2925% - --------------------------------------------------------------------------------------------------------------------------------- Total for Alfred M. Rankin Jr.: 102,798 Shares 21.7621% - ---------------------------------------------------------------------------------------------------------------------------------
Page 1 of 2 8 SCHEDULE A (CONTINUED)
================================================================================================================================= NAME PROPERTY CONTRIBUTED INTEREST ---- -------------------- -------- ================================================================================================================================= - --------------------------------------------------------------------------------------------------------------------------------- Bruce T. Rankin - --------------------------------------------------------------------------------------------------------------------------------- (a) B.T. Rankin Lot 1 800 0.1694% - --------------------------------------------------------------------------------------------------------------------------------- (b) B.T. Rankin Lot 2 14,400 3.0485% - --------------------------------------------------------------------------------------------------------------------------------- (c) B.T. Rankin Lot 3 72,998 15.4535% - --------------------------------------------------------------------------------------------------------------------------------- (d) B.T. Rankin Lot 4 25,000 5.2925% - --------------------------------------------------------------------------------------------------------------------------------- Total for Bruce T. Rankin: 113,198 Shares 23.9638% - --------------------------------------------------------------------------------------------------------------------------------- Claiborne R. Rankin - --------------------------------------------------------------------------------------------------------------------------------- (a) CR Rankin Lot 1 8,000 1.6936% - --------------------------------------------------------------------------------------------------------------------------------- (b) CR Rankin Lot 2 15,000 3.1755% - --------------------------------------------------------------------------------------------------------------------------------- Total for Claiborne R. Rankin: 23,000 Shares 4.8691% - --------------------------------------------------------------------------------------------------------------------------------- Roger F. Rankin - --------------------------------------------------------------------------------------------------------------------------------- (a) RF Rankin Lot 1 8,000 1.6936% - --------------------------------------------------------------------------------------------------------------------------------- (b) RF Rankin Lot 2 25,000 5.2925% - --------------------------------------------------------------------------------------------------------------------------------- Total for Roger F. Rankin: 33,000 Shares 6.9860% - --------------------------------------------------------------------------------------------------------------------------------- Thomas T. Rankin 8,000 Shares 1.6936% - --------------------------------------------------------------------------------------------------------------------------------- Victoire G. Rankin 3,128 Shares 0.6622% - --------------------------------------------------------------------------------------------------------------------------------- TOTALS 472,371 Shares 100% =================================================================================================================================
Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----