Edgar Filing: NACCO INDUSTRIES INC

Ownership Submission

FORM 4

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

TAPLIN BEATRICE B

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

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

_____ Director	_____ 10% Owner
_____ Officer (give title below)	__X__ Other (specify below)
Member of a group

(Last)

(First)

(Middle)

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

3. Date of Earliest Transaction (Month/Day/Year)
02/08/2017

(Street)

MAYFIELD HEIGHTS, OH 44124

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

6. Individual or Joint/Group Filing(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 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)
1.Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	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	02/08/2017		J⁽¹⁾	V	5,682	D	⁽²⁾	23,868	I	Taplin Annuity Trust#1 ⁽³⁾
Class A Common Stock	02/08/2017		J⁽¹⁾	V	7,399	D	⁽²⁾	16,469	I	Taplin Annuity Trust#1 ⁽³⁾
Class A Common Stock	02/08/2017		J⁽¹⁾	V	7,399	A	⁽²⁾	12,649	I	By Trust/GC#3 ⁽⁴⁾
Class A Common Stock	02/08/2017		J⁽¹⁾	V	7,399	D	⁽²⁾	9,070	I	Taplin Annuity Trust#1 ⁽³⁾
Class A Common Stock	02/08/2017		J⁽¹⁾	V	7,399	A	⁽²⁾	12,649	I	By Trust/GC#2 ⁽⁴⁾
Class A Common Stock	02/08/2017		J⁽¹⁾	V	4,535	D	⁽²⁾	4,535	I	Taplin Annuity Trust#1 ⁽³⁾
Class A Common Stock	02/08/2017		J⁽¹⁾	V	4,535	A	⁽²⁾	9,785	I	By Trust/GC#4 ⁽⁴⁾
Class A Common Stock	02/08/2017		J⁽¹⁾	V	4,535	D	⁽²⁾	0	I	Taplin Annuity Trust#1 ⁽³⁾
Class A Common Stock	02/08/2017		J⁽¹⁾	V	4,535	A	⁽²⁾	9,785	I	By Trust/GC#5 ⁽⁴⁾
Class A Common Stock	07/07/2017		J⁽⁵⁾	V	52,920	A	⁽²⁾	100,560	I	By Marital Trust/PNC ⁽⁶⁾
Class A Common Stock	07/07/2017		J⁽⁵⁾	V	75,461	A	⁽²⁾	176,021	I	By Marital Trust/PNC ⁽⁶⁾
Class A Common Stock	07/07/2017		J⁽⁵⁾	V	92,072	A	⁽²⁾	268,093	I	By Marital Trust/PNC ⁽⁶⁾
Class A Common Stock	07/07/2017		J⁽⁵⁾	V	58,718	A	⁽²⁾	326,811	I	By Marital Trust/PNC ⁽⁶⁾
Class A Common Stock								2	I	Shares held in Trust: 2012 Taplin Annuity Trust #2
Class A Common Stock								10,104	I	Proportionate membership interest in shares held by Abigail, LLC
Class A Common Stock								62,470	I	BBT/Wells Fargo Trust ⁽⁶⁾
Class A Common Stock								5,250	I	By Trust/GC#1 ⁽⁴⁾

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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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 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)

Code

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Class B Common Stock

$ 0

07/07/2017

J⁽⁵⁾

279,171

⁽²⁾

Class A Common Stock

279,171

⁽²⁾

30,829

By Marital Trust ⁽⁷⁾

Class B Common Stock

$ 0

⁽²⁾

Class A Common Stock

27,310

By Trust ⁽⁶⁾

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
TAPLIN BEATRICE B NACCO INDUSTRIES, INC. 5875 LANDERBROOK DRIVE, STE. 220 MAYFIELD HEIGHTS, OH 44124				Member of a group

Signatures

/s/ Jesse L. Adkins, attorney-in-fact		07/10/2017
^**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 distributed from GRAT as per the terms of the GRAT.
(2)	N/A
(3)	Shares held in Trust: 2011 Taplin Annuity Trust #1.
(4)	Reporting Person serves as co-trustee with National City Bank of Trusts for the benefit of Reporting Person's grandchildren. Reporting Person disclaims beneficial ownership of all such shares.
(5)	Class A shares were exchanged for Class B shares pursuant to the terms of the Second Amendment to Amended and Restated Stockholders' Agreement dated February 14, 2017.
(6)	Held by Trust, National City Bank and Beatrice B. Taplin, Co-Trustees, for the benefit of Beatrice B. Taplin.
(7)	Shares represent the Thomas E. Taplin Marital Trust FBO Beatrice B. Taplin under Agreement dated 1/21/1966 as amended and restated between Thomas E. Taplin and National City Bank. National City Bank and Beatrice B. Taplin, Trustees.

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