0001127602-13-012635.txt : 20130401 0001127602-13-012635.hdr.sgml : 20130401 20130401181121 ACCESSION NUMBER: 0001127602-13-012635 CONFORMED SUBMISSION TYPE: 5/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130401 DATE AS OF CHANGE: 20130401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RANKIN ROGER F CENTRAL INDEX KEY: 0000901733 FILING VALUES: FORM TYPE: 5/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-09172 FILM NUMBER: 13732732 MAIL ADDRESS: STREET 1: C/O NACCO INDUSTRIES INC STREET 2: 5875 LANDERBROOK DRIVE CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124 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 STREET 2: SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124-4069 BUSINESS PHONE: 4402295123 MAIL ADDRESS: STREET 1: 5875 LANDERBROOK DR CITY: CLEVELAND STATE: OH ZIP: 44124 5/A 1 form5a.xml PRIMARY DOCUMENT X0306 5/A 2012-12-31 2013-02-07 0 0 0000789933 NACCO INDUSTRIES INC NC 0000901733 RANKIN ROGER F NACCO INDUSTRIES, INC. 5875 LANDERBROOK DRIVE., STE. 220 MAYFIELD HEIGHTS OH 44124 1 Member of a group Class A Common Stock 2013-01-18 5 J 0 200 0 A 0 I Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin Class A Common Stock 2013-01-18 5 J 0 200 0 D 3938 I By Trust (Daughter 1) Class A Common Stock 2013-01-18 5 J 0 200 0 A 0 I Reporting Person serves as Trustee for the Benefit of Elisabeth Rankin Class A Common Stock 2013-01-18 5 J 0 200 0 D 2051 I By Trust (Daughter 2) Class A Common Stock 2116 I By Assoc II/Spouse Class A Common Stock 3123 I By Spouse/Trust Class A Common Stock 19140 I By Assoc II/Daughter 2 Class A Common Stock 17252 I By Assoc II/Daughter 1 Class A Common Stock 6 I By GP Class A Common Stock 22385 I By RA4 Class A Common Stock 33869 I By Assoc II Class A Common Stock 1975 I By RMI (Delaware) Class A Common Stock 75628 I By Trust Class B Common Stock Class A Common Stock 75504 75504 I by RAI (B) Class B Common Stock Class A Common Stock 5143 5143 I Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Anne F. Rankin Class B Common Stock Class A Common Stock 5143 5143 I Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Elisabeth M. Rankin Class B Common Stock 0 Class A Common Stock 19 19 I By GP Class B Common Stock 0 Class A Common Stock 62670 62670 I By RA4 Class B Common Stock 0 Class A Common Stock 4808 4808 I By Assoc I Class B Common Stock 0 Class A Common Stock 118125 118125 I By Trust Represent shares that Reporting Person previously held as custodian under Uniform Gift to Minors Act that were transferred upon the minor's 21st birthday to a trust for which Reporting Person is the trustee. Such shares were previously reported by Reporting Person as part of the shares held by a trust for the benefit of the minor for which Reporting Person's spouse was the trustee. N/A Held by Trust, Reporting Person's Spouse is Co-Trustee for the benefit of Reporting Person's daughter. Reporting Person disclaims beneficial ownership of all such shares. Represents shares that Reporting Person previously held as custodian under Uniform Gift to Minors Act that were transferred upon the minor's 21st birthday to a trust for which Reporting Person is the trustee. Such shares were previously reported by Reporting Person as part of the shares held by a trust for the benefit of the minor for which Reporting Person's spouse was the trustee. 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 Alison Rankin. Reporting Person disclaims beneficial ownership of all such shares. 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 for the benefit of the daughter. Reporting Person's spouse is the co-trustee of the Trust. Reporting Person disclaims beneficial ownership of all such shares. GP. Represents Reporting Person's proportionate limited partnership interest in shares of Rankin Associates IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner. (RAIV) Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Represents the Reporting Person's proportionate limited partnership interests in shares held by Rankin Associates II, L.P.------- Represents the Reporting Person's proportionate interest in shares held by Rankin Management, Inc. ("RMI). Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin. Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates I, L.P.-------- - "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 2013-04-01 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 Charles A. Bittenbender, Suzanne S. Taylor, Mary D. Maloney, John D. Neumann and Thomas C. Daniels, 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 $0.01 per share, of NACCO Industries, Inc. (the "Company") and Class B Common Stock, par value $0.01 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. Roger F. Rankin The Trust created under the Agreement, dated September 11, 1973, as supplemented, amended and restated, between Roger F. Rankin, as trustee, and Roger F. Rankin, creating a trust for the benefit of Roger F. Rankin By: Roger F. Rankin, as Trustee Name: Roger F. Rankin Date: Address: