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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
UNDER THE SECURITIES EXCHANGE ACT OF 1934*
(AMENDMENT NO. 1)
NACCO INDUSTRIES, INC.
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(NAME OF ISSUER)
CLASS A COMMON STOCK
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(TITLE OF CLASS OF SECURITIES)
629579 10 3
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(CUSIP NUMBER)
ALFRED M. RANKIN, JR.
5875 LANDERBROOK DRIVE
MAYFIELD HEIGHTS, OHIO 44124-4017
(216) 449-9600
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(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND
COMMUNICATIONS)
FEBRUARY 6, 1998
------------------------------------
(DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT)
IF THE FILING PERSON HAS PREVIOUSLY FILED A STATEMENT ON SCHEDULE 13G
TO REPORT THE ACQUISITION WHICH IS THE SUBJECT OF THIS SCHEDULE 13D, AND IS
FILING THIS SCHEDULE BECAUSE OF RULE 13D-1 (b)(3) OR (4), CHECK THE FOLLOWING
BOX [ ].
NOTE: Six copies of this statement, including all exhibits,
should be filed with the Commission. See Rule 13d-1(a) for other
parties to whom copies are to be sent.
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* The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not
be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
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<TABLE>
<CAPTION>
CUSIP No. 629579 10 3 13D Page 2 of 4 Pages
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<S> <C> <C>
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Alfred M. Rankin, Jr.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
00 - See Item 3
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEMS 2(D) OR 2(E)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
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7 SOLE VOTING POWER
147,939
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 878,991
OWNED BY ----------------------------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH
147,939
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10 SHARED DISPOSITIVE POWER
878,991
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,026,930
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES CERTAIN SHARES*
[ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
15.8 %
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14 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
</TABLE>
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SCHEDULE 13D
CUSIP NO. 629579 10 3 Page 3 of 4 Pages
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This Amendment No. 1 to Schedule 13D (the "Amendment") is hereby filed
to correct certain inaccuracies and omissions with respect to the beneficial
ownership of shares of Class A Common Stock (the "Class A Common") of NACCO
Industries, Inc. (the "Company") as reported in the Schedule 13D filed by the
Reporting Persons on February 18, 1998 (the "Original Filing"). This Amendment
discloses only changes in information from the Original Filing. Capitalized
terms used herein but not defined herein shall have the meanings assigned to
such terms in the Original Filing.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
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The sixth paragraph under the heading "Item 5. Interest in Securities
of the Issuer" in the Original Filing reporting the beneficial ownership of
Class A Common by Alfred M. Rankin, Jr. is hereby deleted and replaced in its
entirety as follows:
ALFRED M. RANKIN, JR. Mr. Rankin (a) shares with National City
Bank, a national banking association ("NCB"), the power to vote and dispose of
2,000 shares of Class A Common pursuant to the Agreement with Clara L. T. Rankin
dated September 22, 1988, creating a trust for the benefit of her grandchildren;
(b) shares with NCB the power to vote and dispose of 48,000 shares of Class A
Common pursuant to the Agreement with Clara L. T. Rankin dated July 12, 1967,
creating a trust for the benefit of her grandchildren; (c) shares with NCB the
power to vote and dispose of 25,608 shares of Class A Common held by the AM
Rankin, Sr. Trust A for the benefit of grandchildren; (d) shares with Helen
Rankin Butler the power to vote and dispose of 23,966 shares of Class A Common
held in a trust for the benefit of Helen Rankin Butler; (e) shares with Clara T.
Rankin the power to vote and dispose of 23,966 shares of Class A Common held in
trust for the benefit of Clara T. Rankin; (f) shares the power to dispose of
738,295 shares of Class A Common with RMI and the other Reporting Individuals;
(g) has the sole power to vote and dispose of 119,339 shares of Class A Common
under the Agreement dated August 30, 1967, creating a trust for the benefit of
Mr. Rankin; (h) has the sole power to vote and dispose of the 25,000 shares of
Class A Common issuable upon the exercise of options exercisable within 60 days
of the date hereof; (i) has the sole power to vote and dispose of an additional
3,600 shares of Class A Common; and (j) is deemed to share with his spouse the
power to vote and dispose of 17,156 shares of Class A Common owned by his spouse
(Victoire G. Rankin) because she resides with him. Collectively, the 1,026,930
shares of Class A Common beneficially owned by Mr. Rankin constitute
approximately 15.8% of the Class A Common outstanding as of February 6, 1998.
The business address of each of Clara T. Rankin and Victoire G. Rankin is 5875
Landerbrook Drive, Mayfield Heights, Ohio 44124-4017. Clara T. Rankin and
Victoire G. Rankin are not employed. The business address of Helen Rankin Butler
is Camp Aloha Hive, RR #1, Box 289, Fairlee, VT 05045. Mrs. Butler is employed
as the Director of Camp Aloha Hive. To the knowledge of the Reporting Persons,
during the last five years, Helen Rankin Butler, Clara T. Rankin or Victoire G.
Rankin have not (individually or collectively) been convicted in any criminal
proceeding (excluding traffic violations or similar misdemeanors), or been a
party to any civil proceeding of a judicial or administrative body of competent
jurisdiction as a result of which any of them was or is subject to a judgment,
decree, or final order enjoining future violations of, or
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prohibiting or mandating activities subject to, federal or state securities laws
or finding any violation with respect to such laws.
SCHEDULE 13D
CUSIP NO. 629579 10 3 Page 4 of 4 Pages
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After reasonable inquiry and to the best of our knowledge and belief,
we certify that the information set forth in this statement is true, complete
and correct.
Dated: March 30, 1998
Name: RANKIN ASSOCIATES II, L.P.
By: Rankin Management, Inc.,
its Managing Partner
By: /s/ Alfred M. Rankin, Jr.
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Alfred M. Rankin, Jr., President
Name: RANKIN MANAGEMENT, INC.
By: /s/ Alfred M. Rankin, Jr.
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Alfred M. Rankin, Jr., President
/s/ Alfred M. Rankin, Jr.
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Name: ALFRED M. RANKIN, JR.
Name: RANKIN MANAGEMENT, INC.
By: /s/ Alfred M. Rankin, Jr.
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Alfred M. Rankin, Jr., President
Attorney-in-Fact for Clara L. T. Rankin*
Attorney-in-Fact for Thomas T. Rankin*
Attorney-in-Fact for Claiborne R. Rankin*
Attorney-in-Fact for Roger F. Rankin*
Attorney-in-Fact for Bruce T. Rankin*
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* The power of attorney authorizing the above named individual to act on
behalf of each of the foregoing Reporting Persons is included in
Exhibit 2 at page 16 and in Exhibit 4 at pages 25 through 26 of the
Original Filing.
