0001127602-21-002516.txt : 20210126 0001127602-21-002516.hdr.sgml : 20210126 20210126140233 ACCESSION NUMBER: 0001127602-21-002516 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210126 DATE AS OF CHANGE: 20210126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUTLER HELEN RANKIN CENTRAL INDEX KEY: 0001247868 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09172 FILM NUMBER: 21553009 MAIL ADDRESS: STREET 1: 5875 LANDERBROOK DRIVE STREET 2: SUITE 300 CITY: MAYFIELD HEIGHTS STATE: OH ZIP: 44124 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NACCO INDUSTRIES INC CENTRAL INDEX KEY: 0000789933 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD APPLIANCES [3630] 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2020-12-31 0000789933 NACCO INDUSTRIES INC NC 0001247868 BUTLER HELEN RANKIN NACCO INDUSTRIES, INC. 5875 LANDERBROOK DRIVE, STE. 220 MAYFIELD HEIGHTS OH 44124 1 Member of a Group Class A Common Stock 2020-12-31 5 G 0 E 5398 D 5398 I By RAII Class A Common Stock 2020-12-31 5 G 0 E 5398 D 0 I By RAII Class A Common Stock 2020-12-31 5 G 0 E 4054 D 4055 I By RAII/Spouse Class A Common Stock 2020-12-31 5 G 0 E 4054 A 4054 I By Trust/Daughter Class A Common Stock 2020-12-31 5 G 0 E 4055 D 0 I By RAII/Spouse Class A Common Stock 2020-12-31 5 G 0 E 4055 A 4055 I By Trust/Son Class A Common Stock 2021-01-22 4 P 0 2191 15.1859 A 2191 I By Trust Class A Common Stock 9052 I By RAII/Child 1 Class A Common Stock 4083 I By Trust-Child 1 Class A Common Stock 9208 I By RAII/Child 2 Class A Common Stock 3927 I By Trust-Child 2 Class A Common Stock 68094 I By Trust Class A Common Stock 2800 I By Spouse/IRA Class A Common Stock 154114 I By Spouse/Trust Class B Common Stock 2020-12-31 5 G 0 E 24729 D Class A Common Stock 24729 44729 I By RAI Class B Common Stock 2020-12-31 5 G 0 E 24729 D Class A Common Stock 24729 20000 I By RAI Class B Common Stock 2020-12-31 5 G 0 E 1222 A Class A Common Stock 1222 1222 I By Trust Class B Common Stock 2021-01-22 4 P 0 668 15.1859 A Class A Common Stock 668 1890 I By Trust Class B Common Stock 2021-01-22 4 P 0 6161 15.1859 A Class A Common Stock 6161 26161 I By RAI Class B Common Stock 2021-01-22 4 P 0 5967 15.1859 A Class A Common Stock 5967 7857 I By Trust Class B Common Stock 0 2021-01-22 4 P 0 702 15.1859 A Class A Common Stock 702 42529 I by RAIV Class B Common Stock Class A Common Stock 9195 9195 I By Trust 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. /s/ Matthew J. Dilluvio, attorney-in-fact 2021-01-26 EX-24 2 doc1.txt POWER OF ATTORNEY (PUBLIC): 2020 POA POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints John D. Neumann, Matthew J. Dilluvio, Kimberly J. Pustulka, Andrew C. Thomas 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. Helen Rankin Butler (f/k/a Helen P. Rankin); The Trust created under the Agreement, dated December 29, 1989, as supplemented, amended and restated, between Helen P. (Rankin) Butler, as trustee, and Helen P. (Rankin) Butler for the benefit of Helen P. (Rankin) Butler; and 2012 Helen R. Butler Trust By: Helen Rankin Butler (f/k/a Helen P. Rankin), as Trustee Name: /s/ Helen Rankin Butler Helen Rankin Butler Date: Jan. 19, 2020 Address: 5875 Landerbrook Drive, Suite 220 Cleveland, Ohio 44124