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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class B Common Stock | $ 0 (2) | (2) | (2) | Class A Common Stock | 15,883 | 15,883 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TAPLIN DAVID F NACCO INDUSTRIES, INC. 5875 LANDERBROOK DRIVE, STE. 220 MAYFIELD HEIGHTS, OH 44124 |
X | Dir. and Member of a Group |
/s/ Jesse L. Adkins, attorney-in-fact | 10/02/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' E quity Compensation Plan. |
(2) | N/A |
(3) | Reporting Person succeeded his stepmother as Trustee (together with National City Bank of Cleveland) of such trusts, which are for the benefit of Reporting Person's niece. Reporting Person disclaims beneficial ownership of all such shares. |
(4) | Charitable Remainder Trust of which Reporting Person serves as Trustee (together with State Street Bank) of such trusts, which are for the benefit of various non-profit organizations in Vermont. Reporting Person disclaims beneficial ownership of all such shares. |
(5) | Reporting Person received disbursement of shares upon the death of his father. Shares are held in an irrevocable trust of which Reporting Person is Trustee, for the benefit of Reporting Person. |
(6) | Shares held in a trust. Ngaio T. Lowry Trust U/A Dtd 08/26/1998 FBO David F. Taplin. |
(7) | Reporting Person serves as co-trustee with his step-sister, of a revocable trust held for the benefit of Reporting Person's step-mother. Reporting Person disclaims beneficial ownership of all such shares |
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. |