FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NACCO INDUSTRIES INC [ NC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/10/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 11/10/2008 | 11/10/2008 | J(4) | 24,997 | D | $0(2) | 29,462 | I | CTR 2009B GRAT - RAIV(3) | |
Class A Common Stock | 11/10/2008 | 11/10/2008 | J(4) | 24,997 | A | $0(2) | 9,047 | I | CTR Main Trust(1) | |
Class A Common Stock | 78,759 | I | CTR - RAIV(5) | |||||||
Class A Common Stock | 0 | I | CTR 2008A GRAT(6) | |||||||
Class A Common Stock | 24,997 | I | CTR 2008B GRAT - RAIV(3) | |||||||
Class A Common Stock | 1,214 | I | CTR 2009A GRAT(6) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class B Common Stock | $0(2) | 11/10/2008 | 11/10/2008 | J(4) | 69,984 | (2) | (2) | Class A Common Stock | 69,984(2) | $0(2) | 0 | I | CTR Main Trust (B)(1) | ||
Class B Common Stock | (2) | 11/10/2008 | 11/10/2008 | J(4) | 69,984 | (2) | (2) | Class A Common Stock | 69,984(2) | $0(2) | 82,483 | I | CTR 2009B GRAT - RAIV(3) | ||
Class B Common Stock | $0 | (2) | (2) | Class A Common Stock | 106,924 | 106,924 | I | CTR RAI(7) | |||||||
Class B Common Stock | $0(2) | (2) | (2) | Class A Common Stock | 220,497 | 220,497 | I | CTR - RAIV(5) | |||||||
Class B Common Stock | $0(2) | (2) | (2) | Class A Common Stock | 0 | 0 | I | CTR 2008B GRAT - RAI(7) | |||||||
Class B Common Stock | $0(2) | (2) | (2) | Class A Common Stock | 0 | 0 | I | CTR 2008B GRAT - RAIV(3) | |||||||
Class B Common Stock | $0(2) | (2) | (2) | Class A Common Stock | 7,000 | 7,000 | I | CTR 2009B GRAT(6) | |||||||
Class B Common Stock | $0(2) | (2) | (2) | Class A Common Stock | 0 | 0 | I | CTR 2009B GRAT - RAI(8) |
Explanation of Responses: |
1. Reporting Person's son serves as Trustee of a Trust for the benefit of the Clara L.T. Rankin . |
2. N/A |
3. Represents the proportionate limited partnership interest in shares held by Rankin Assoc 4, which is held in a qualified annuity interest trust for the benefit of Clara LT Rankin. |
4. Reporting Person transferred stock from GRAT into her main trust. |
5. RA4. Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. |
6. Represents shares which is held in a qualified annuity intesest trust for the benefit of Clara LT Rankin. |
7. Represents the proportionate limited partnership interest in shares held by Rankin Assoc I, which is held in a qualified annuity interest trust for the benefit of Clara LT Rankin. |
8. Represents the proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a trust for the benefit of Clara L.T. Rankin. Reporting Person's Son serves as the Trustee of the Trust.--------- |
Remarks: |
"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/Mary D. Maloney, attorney-in-fact | 11/13/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |