0001127602-21-002568.txt : 20210126 0001127602-21-002568.hdr.sgml : 20210126 20210126150247 ACCESSION NUMBER: 0001127602-21-002568 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: RANKIN ALFRED M ET AL CENTRAL INDEX KEY: 0000904532 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09172 FILM NUMBER: 21553705 MAIL ADDRESS: STREET 1: 5875 LANDERBROOK DR 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 0000904532 RANKIN ALFRED M ET AL NACCO INDUSTRIES, INC. 5875 LANDERBROOK DRIVE, STE. 220 MAYFIELD HEIGHTS OH 44124 1 1 1 Chairman Group Member Class A Common Stock 2021-01-22 4 S 0 21916 15.1859 D 0 I BTR - RAII Class A Common Stock 14160 I AMR - IRA Class A Common Stock 1975 I AMR - RMI (Delaware) Class A Common Stock 18625 I AMR - Trust2 (SR) Class A Common Stock 9600 I AMR - Trust3 (Grandchildren) Class A Common Stock 262174 I AMR Main Trust(A) Class A Common Stock 14313 I BTR - Class A Trust Class A Common Stock 34936 I VGR - Trust Class B Common Stock 0 2020-12-31 5 G 0 E 1222 D Class A Common Stock 1222 17672 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1222 D Class A Common Stock 1222 16450 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1221 D Class A Common Stock 1221 15229 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1221 D Class A Common Stock 1221 14008 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1221 D Class A Common Stock 1221 12787 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1222 D Class A Common Stock 1222 11565 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1222 D Class A Common Stock 1222 10343 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1222 D Class A Common Stock 1222 9121 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1222 D Class A Common Stock 1222 7899 I BTR RAI/B Class B Common Stock 0 2020-12-31 5 G 0 E 1222 D Class A Common Stock 1222 6677 I BTR RAI/B Class B Common Stock 0 2021-01-22 4 S 0 6677 15.1859 D Class A Common Stock 6677 0 I BTR RAI/B Class B Common Stock 2021-01-22 4 S 0 12322 15.1859 D Class A Common Stock 12322 2000 I AMR-RAI/B Class B Common Stock 0 2021-01-22 4 S 0 59675 15.1859 D Class A Common Stock 59675 0 I BTR - RAIV Class B Common Stock 0 2021-01-22 4 S 0 1404 15.1859 D Class A Common Stock 1404 0 I AMR - RAIV Class B Common Stock Class A Common Stock 134209 134209 I AMR - Trust - B Class B Common Stock Class A Common Stock 25 25 I AMR RAIV - GP Class B Common Stock Class A Common Stock 9431 9431 I By Trust/Daughter 2 Class B Common Stock Class A Common Stock 9431 9431 I By Trust/Daughter 1 BTR RAII -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes each 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. 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. Held in an Individual Retirement Account for the benefit of the Reporting Person. 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. Reporting Person serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr. Reporting Person serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims beneficial ownership of all such shares. N/A 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. BTR RAI -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes each 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 series of promissory notes each 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. 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. BTR RAIV -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes each 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. (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. AMR RAIV -- The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes each 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. Represents Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting person serves as trustee of BTR 2012 GST for the benefit of Clara Williams. Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Helen R. Butler. /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. Alfred M. Rankin, Jr.; Rankin Associates I, L.P. (f/k/a CTR Family Associates, 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 Rankin Associates II, L.P.; Rankin Associates V, L.P.; and Rankin Associates VI, L.P. By: Rankin Management, Inc., as General Partner Alfred M. Rankin, Jr., as President The Trust created under the Agreement, dated July 20, 2000, as supplemented, amended and restated, between Alfred M. Rankin, Jr., as trustee, and Clara T. Rankin, for the benefit of Clara T. Rankin; 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 September 28, 2000, as supplemented, amended and restated, between Alfred M. Rankin, Jr., as trustee, and Victoire G. Rankin, for the benefit of Victoire G. Rankin; BTR 2012 GST for Helen R. Butler; and BTR 2012 GST for Clara R. Williams By: Alfred M. Rankin, Jr. as Trustee The Trust created under the Agreement, dated January 11, 1965, as supplemented, amended, and restated, between PNC Bank, as Co-Trustee, and Alfred M. Rankin, Jr., as Co-Trustee, for the benefit of the grandchildren; and The Trust created under the Agreement, dated December 28, 1976, between PNC Bank as Co-Trustee, and Clara L.T. Rankin for the benefit of grandchildren; Alfred M. Rankin, Jr., Co-Trustee By: Alfred M. Rankin, Jr., as Co-Trustee Alfred M. Rankin Jr.?Roth IRA?Brokerage Account #***** By: Alfred M. Rankin, Jr. Name: /s/ Alfred M. Rankin, Jr. Alfred M. Rankin, Jr. Date: 2-3-2020 Address: 5875 Landerbrook Drive, Suite 220 Cleveland, Ohio 44124