0001127602-14-006068.txt : 20140213 0001127602-14-006068.hdr.sgml : 20140213 20140213161508 ACCESSION NUMBER: 0001127602-14-006068 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140213 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 220 CITY: CLEVELAND STATE: OH ZIP: 44124-4069 BUSINESS PHONE: 4402295123 MAIL ADDRESS: STREET 1: 5875 LANDERBROOK DR CITY: CLEVELAND STATE: OH ZIP: 44124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RANKIN ROGER F CENTRAL INDEX KEY: 0000901733 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09172 FILM NUMBER: 14606277 MAIL ADDRESS: STREET 1: C/O NACCO INDUSTRIES INC STREET 2: 5875 LANDERBROOK DRIVE CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124 5 1 form5.xml PRIMARY DOCUMENT X0306 5 2013-12-31 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 2013-12-23 5 G 0 46 0 A 75461 I By Trust Class A Common Stock 2013-12-27 5 G 0 110 0 D 75461 I By Trust Class A Common Stock 2013-12-27 5 G 0 110 0 A 3933 I By Trust (Daughter 1) Class A Common Stock 2013-12-30 5 G 0 41 0 A 3933 I By Trust (Daughter 1) Class A Common Stock 2013-12-20 5 G 0 7 0 A 75461 I By Trust Class A Common Stock 2013-12-30 5 G 0 41 0 A 2046 I By Trust (Daughter 2) Class A Common Stock 2013-12-27 5 G 0 110 0 A 2046 I By Trust (Daughter 2) Class A Common Stock 2013-12-27 5 G 0 110 0 D 75461 I By Trust Class A Common Stock 2013-12-23 5 G 0 44 0 A 3933 I By Trust (Daughter 1) Class A Common Stock 2013-12-23 5 G 0 44 0 A 2046 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 200 I Reporting Person serves as Trustee for the Benefit of Elisabeth Rankin Class A Common Stock 17252 I By Assoc II/Daughter 1 Class A Common Stock 200 I Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin 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 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 N/A Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin. 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 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). 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 2014-01-08