0001127602-13-006046.txt : 20130214 0001127602-13-006046.hdr.sgml : 20130214 20130214132454 ACCESSION NUMBER: 0001127602-13-006046 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 5875 LANDERBROOK DR CITY: CLEVELAND STATE: OH ZIP: 44124-4069 BUSINESS PHONE: 4404499600 MAIL ADDRESS: STREET 1: 5875 LANDERBROOK DR CITY: CLEVELAND STATE: OH ZIP: 44124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RANKIN ALFRED M ET AL CENTRAL INDEX KEY: 0000904532 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09172 FILM NUMBER: 13610214 MAIL ADDRESS: STREET 1: 5875 LANDERBROOK DR CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124 5 1 form5.xml PRIMARY DOCUMENT X0306 5 2012-12-31 0 0 0000789933 NACCO INDUSTRIES INC NC 0000904532 RANKIN ALFRED M ET AL NACCO INDUSTRIES, INC. 5875 LANDERBROOK DRIVE, STE. 300 CLEVELAND OH 44124 1 1 1 CEO Group Member Class A Common Stock 2013-02-08 5 J 0 37354 0 A 128131 I AMR Main Trust(A) Class A Common Stock 2013-02-08 5 J 0 37354 0 D 37354 I By GRAT2011 Class A Common Stock 2012-09-13 5 G 0 1512 0 D 753 I AMR - RAII Class A Common Stock 2012-09-14 5 G 0 458 0 D 128131 I AMR Main Trust(A) Class A Common Stock 2012-09-13 5 G 0 470 0 D 128131 I AMR Main Trust(A) Class A Common Stock 2012-09-13 5 G 0 1890 0 D 29379 I BTR - RAII Class A Common Stock 2012-09-13 5 G 0 119 0 A 128131 I AMR Main Trust(A) Class A Common Stock 2012-09-13 5 G 0 119 0 A 740 I BTR - Class A Trust Class A Common Stock 2012-09-13 5 G 0 595 0 D 35 I CTR - Trust Class A Common Stock 14160 I AMR - IRA Class A Common Stock 369 I AMR - RAIV Class A Common Stock 1975 I AMR - RMI (Delaware) Class A Common Stock 27008 I AMR - Trust2 (SR) Class A Common Stock 18400 I AMR - Trust3 (Grandchildren) Class A Common Stock 30000 I AMR JR 2012 GRAT(A) Class A Common Stock 6 I AMR RAIV GP Class A Common Stock 29370 I AMR/Trust (Unitrust) Class A Common Stock 15705 I BTR - RAIV Class A Common Stock 2116 I VGR - RAII Class A Common Stock 21006 I VGR - Trust Class B Common Stock 2013-02-08 5 J 0 12068 0 A Class A Common Stock 12068 3052 I AMR - Trust - B Class B Common Stock 0 2013-02-08 5 J 0 12068 0 D Class A Common Stock 12068 50000 I By GRAT2011 Class B Common Stock 2012-12-31 5 G 0 5143 0 A Class A Common Stock 5143 5143 I Reporting person serves as trustee of BTR 2012 GST for the benefit of Clara Williams Class B Common Stock 0 2012-12-31 5 G 0 5143 0 D Class A Common Stock 5143 61768 I BTR RAI/B Class B Common Stock 0 2013-02-08 5 G 0 18966 0 D Class A Common Stock 18966 50000 I By GRAT2011 Class B Common Stock 2012-12-31 5 G 0 5143 0 A Class A Common Stock 5143 5143 I Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Helen R. Butler Class B Common Stock 0 2012-12-31 5 G 0 5143 0 D Class A Common Stock 5143 61768 I BTR RAI/B Class B Common Stock 0 2012-12-31 5 G 0 41144 0 D Class A Common Stock 41144 61768 I BTR RAI/B Class B Common Stock 0 2013-02-08 5 G 0 18966 0 D Class A Common Stock 18966 50000 I By GRAT2011 Class B Common Stock Class A Common Stock 2254 2254 I AMR-RAI/B Class B Common Stock 0 Class A Common Stock 1035 1035 I AMR - RAIV Class B Common Stock Class A Common Stock 60000 60000 I AMR JR 2012 GRAT(B) Class B Common Stock Class A Common Stock 19 19 I AMR RAIV - GP Class B Common Stock 0 Class A Common Stock 43969 43969 I BTR - RAIV Shares transferred out of GRAT into Main Trust per the terms of the GRAT. N/A Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr. GRAT2011-Reporting Person serves as Trustee of the Alfred M. Rankin, Jr. 2011 Grantor Retained Annuity Trust. Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P. 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. 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. Held in an Individual Retirement Account for the benefit of the Reporting Person. Represents Reporting Person's Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. 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. 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. 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. GRAT2012-Reporting Person serves as Trustee of the Alfred M. Rankin, Jr. 2012 Grantor Retained Annuity Trust. 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. (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. 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. 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. Shares distributed from GRAT into Reporting Person's Main Trust as per the terms of the GRAT. Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held is 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. 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. "Remark on Insider Relationship" - As a member of a "group" deemed to own more than 10% of an equity security as a result of being a party to a Stockholders' Agreement, dated as of March 15, 1990, beneficially owned by each of the signatories to such agreement (the "Agreement", the Reporting Person disclaims beneficial ownership of any such shares of Stock owned by any other signatory to the Agreement. /s/ John D. Neumann, attorney-in-fact 2013-02-13 EX-24 2 doc1.txt POWER OF ATTORNEY (PUBLIC): POWER OF ATTORNEY POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Suzanne S. Taylor, John D. Neumann, Jesse Adkins, and Eric Orsic, and each of them, as the true and lawful attorney or attorneys-in-fact, with full power of substitution and revocation, for the undersigned and in the name, place and stead of the undersigned, in any and all capacities, to execute, on behalf of the undersigned, any and all statements or reports under Section 16 of the Securities Exchange Act of 1934, as amended, with respect to the beneficial ownership of shares of Class A Common Stock, par value $1.00 per share, of NACCO Industries, Inc. (the "Company") and Class B Common Stock, par value $1.00 per share, of the Company, including, without limitation, all initial statements of beneficial ownership on Form 3, all statements of changes of beneficial ownership on Form 4 and all annual statements of beneficial ownership on Form 5 and any and all other documents that may be required, from time to time, to be filed with the Securities and Exchange Commission, to execute any and all amendments or supplements to any such statements or forms, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting to said attorney or attorneys-in-fact, and each of them, full power and authority to do so and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as the undersigned might or could do in person, hereby ratifying and confirming all that said attorney or attorneys-in-fact or any of them or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof. Alfred M. Rankin, Jr. Rankin Associates I, L.P. (f/k/a CTR Family Associates, L.P.); Rankin Associates II, L.P.; and Rankin Associates IV, L.P. By: Alfred M. Rankin, Jr., as General Partner Rankin Management, Inc. By: Alfred M. Rankin, Jr., as President The Trust created under the Agreement, dated September 28, 2000, as supplemented, amended and restated, between Alfred M. Rankin, Jr., as trustee, and Alfred M. Rankin, Jr., for the benefit of Alfred M. Rankin, Jr.; The Trust created under the Agreement, dated September 28, 2000, between Alfred M. Rankin, Jr., as trustee, and Bruce T. Rankin, for the benefit of Bruce T. Rankin; The Trust created under the Agreement, dated January 1, 1977, between PNC Bank, as Co? Trustee, Alfred M. Rankin, Jr., as Co-Trustee, and Clara L. T. Rankin, for the benefit of Clara L. T. Rankin; Alfred M. Rankin, Jr.'s 2011 Grantor Retained Annuity Trust; and Alfred M. Rankin, Jr. 2012 Retained Annuity Trust By: Alfred M. Rankin, Jr., as Trustee Alfred M. Rankin Jr. Roth IRA