Edgar Filing: NACCO INDUSTRIES INC

Ownership Submission

FORM 5

	Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
	Form 3 Holdings Reported
	Form 4 Transactions Reported

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT 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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1. Name and Address of Reporting Person ^*

RANKIN ALFRED M ET AL

2. Issuer Name and Ticker or Trading Symbol
NACCO INDUSTRIES INC [NC]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

__X__ Director	_____ 10% Owner
__X__ Officer (give title below)	__X__ Other (specify below)
CEO / Group Member

(Last)

(First)

(Middle)

NACCO INDUSTRIES, INC.,Â 5875 LANDERBROOK DRIVE, STE. 220

3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
12/31/2016

(Street)

MAYFIELD HEIGHTS,Â OHÂ 44124

4. If Amendment, Date Original Filed(Month/Day/Year)

6. Individual or Joint/Group Reporting
(check applicable line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

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 at end of Issuer's Fiscal Year (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
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)	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	10/07/2016	Â	J⁽¹⁾	1,600	D	$ 0 ⁽²⁾	9,600	I	AMR - Trust3 (Grandchildren) ⁽³⁾
Class A Common Stock	10/07/2016	Â	J⁽¹⁾	2,400	D	$ 0 ⁽²⁾	9,600	I	AMR - Trust3 (Grandchildren) ⁽³⁾
Class A Common Stock	10/27/2016	Â	G	2,116	D	$ 0 ⁽²⁾	0	I	VGR - RAII ⁽⁴⁾
Class A Common Stock	10/27/2016	Â	G	2,116	A	$ 0 ⁽²⁾	1,277	I	AMR - RAII ⁽⁵⁾
Class A Common Stock	12/22/2016	Â	G	100	D	$ 0 ⁽²⁾	26,929	I	BTR - RAII ⁽⁶⁾
Class A Common Stock	12/22/2016	Â	G	100	D	$ 0 ⁽²⁾	26,929	I	BTR - RAII ⁽⁶⁾
Class A Common Stock	12/22/2016	Â	G	100	D	$ 0 ⁽²⁾	26,929	I	BTR - RAII ⁽⁶⁾
Class A Common Stock	12/22/2016	Â	G	100	D	$ 0 ⁽²⁾	26,929	I	BTR - RAII ⁽⁶⁾
Class A Common Stock	12/22/2016	Â	G	100	D	$ 0 ⁽²⁾	26,929	I	BTR - RAII ⁽⁶⁾
Class A Common Stock	12/22/2016	Â	G	100	D	$ 0 ⁽²⁾	26,929	I	BTR - RAII ⁽⁶⁾
Class A Common Stock	Â	Â	Â	Â	Â	Â	14,160	I	AMR - IRA ⁽⁷⁾
Class A Common Stock	Â	Â	Â	Â	Â	Â	323	I	AMR - RAIV ⁽⁸⁾
Class A Common Stock	Â	Â	Â	Â	Â	Â	1,975	I	AMR - RMI (Delaware) ⁽⁹⁾
Class A Common Stock	Â	Â	Â	Â	Â	Â	21,286	I	AMR - Trust2 (SR) ⁽¹⁰⁾
Class A Common Stock	Â	Â	Â	Â	Â	Â	271,711	I	AMR Main Trust(A) ⁽¹¹⁾
Class A Common Stock	Â	Â	Â	Â	Â	Â	6	I	AMR RAIV GP
Class A Common Stock	Â	Â	Â	Â	Â	Â	13,736	I	BTR - RAIV ⁽¹²⁾
Class A Common Stock	Â	Â	Â	Â	Â	Â	14,313	I	BTR - Class A Trust
Class A Common Stock	Â	Â	Â	Â	Â	Â	34,936	I	VGR - Trust ⁽¹³⁾

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 2270 (9-02)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

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 at End of Issuer's Fiscal Year
(Instr. 4)

10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Class B Common Stock

Â ⁽²⁾

Class A Common Stock

14,322

AMR-RAI/B ⁽¹⁴⁾

Class B Common Stock

$ 0 ⁽²⁾

Â ⁽²⁾

Class A Common Stock

1,081

AMR - RAIV ⁽⁸⁾

Class B Common Stock

Â ⁽²⁾

Class A Common Stock

44,662

AMR - Trust - B ⁽¹¹⁾

Class B Common Stock

Â ⁽²⁾

Class A Common Stock

AMR RAIV - GP

Class B Common Stock

$ 0 ⁽²⁾

Â ⁽²⁾

Class A Common Stock

45,939

BTR - RAIV ⁽¹²⁾

Class B Common Stock

Â ⁽²⁾

Class A Common Stock

5,143

Reporting person serves as trustee of BTR 2012 GST for the benefit of Clara Williams

Class B Common Stock

Â ⁽²⁾

Class A Common Stock

5,143

Reporting person serves as trustee of BTR 2012 GST Trust for the benefit of Helen R. Butler

Class B Common Stock

$ 0 ⁽²⁾

Â ⁽²⁾

Class A Common Stock

61,768

BTR RAI/B ⁽¹⁵⁾

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
RANKIN ALFRED M ET AL NACCO INDUSTRIES, INC. 5875 LANDERBROOK DRIVE, STE. 220 MAYFIELD HEIGHTS,Â OHÂ 44124	Â X	Â	Â CEO	Group Member

Signatures

/s/ Jesse L. Adkins, attorney-in-fact		02/14/2017
^**Signature of Reporting Person		Date

Explanation of Responses:

*	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 transferred from the Clara T. Rankin Irrevocable Trust f/b Grandchildren u/a/d 12/28/76 of which Reporting Person is Trustee, into the recipient's personal account. Recipient became entitled to the outright distribution of the principal of the trust when he turned 30 years old.
(2)	N/A
(3)	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.
(4)	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.
(5)	Represents the Reporting Person's proportionate limited partnership interest in shares held by Rankin Associates II, L.P.
(6)	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.
(7)	Held in an Individual Retirement Account for the benefit of the Reporting Person.
(8)	Represents Reporting Person's Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P.
(9)	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.
(10)	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.
(11)	Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
(12)	(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.
(13)	Reporting Person's spouse serves as Trustee of a Trust for the benefit of Victoire G. Rankin. Reporting Person disclaims benefic ial ownership of all such shares.
(14)	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.
(15)	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.
Â Remarks: "RemarkÂ onÂ InsiderÂ Relationship"Â -Â AsÂ aÂ memberÂ ofÂ aÂ "group"Â deemedÂ toÂ ownÂ moreÂ thanÂ 10%Â ofÂ anÂ equityÂ securityÂ asÂ aÂ resultÂ ofÂ beingÂ aÂ partyÂ toÂ aÂ Stockholders'Â Agreement,Â datedÂ asÂ ofÂ MarchÂ 15,Â 1990,Â beneficiallyÂ ownedÂ byÂ eachÂ ofÂ theÂ signatoriesÂ toÂ suchÂ agreementÂ (theÂ "Agreement",Â theÂ ReportingÂ PersonÂ disclaimsÂ beneficialÂ ownershipÂ ofÂ anyÂ suchÂ sharesÂ ofÂ StockÂ ownedÂ byÂ anyÂ otherÂ signatoryÂ toÂ theÂ Agreement.

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