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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. 4)
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)
May 14, 1999
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(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 [ ].
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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>
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CUSIP No. 629579 10 3 13D Page 2 of 7 Pages
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<S> <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
160,019
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 880,991
OWNED BY --------------------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH
160,019
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10 SHARED DISPOSITIVE POWER
880,991
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,041,010
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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
15.9 %
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14 TYPE OF REPORTING PERSON*
IN
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</TABLE>
*SEE INSTRUCTION BEFORE FILLING OUT!
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<TABLE>
<CAPTION>
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CUSIP No. 629579 10 3 13D Page 3 of 7 Pages
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<S> <C>
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John C. Butler, 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
3,324
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 29,766
OWNED BY --------------------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH
3,324
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10 SHARED DISPOSITIVE POWER
768,061
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
771,385
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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
11.9%
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14 TYPE OF REPORTING PERSON*
IN
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</TABLE>
*SEE INSTRUCTION BEFORE FILLING OUT!
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<TABLE>
<CAPTION>
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CUSIP No. 629579 10 3 13D Page 4 of 7 Pages
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<S> <C>
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Victoire G. Rankin
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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
17,156
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 285,559
OWNED BY --------------------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH
17,156
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10 SHARED DISPOSITIVE POWER
1,023,854
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,041,010
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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
15.9%
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14 TYPE OF REPORTING PERSON*
IN
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</TABLE>
*SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 629579 10 3 13D Page 5 of 7 Pages
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This Amendment No. 4 to Schedule 13D (this "Amendment") is
hereby filed to update and supplement certain information with respect to
beneficial ownership of shares of Class A Common Stock (the "Class A Common") of
NACCO Industries, Inc. (the "Company") that appeared in the Schedule 13D filed
by the Reporting Persons on February 18, 1998 (the "Initial filing"), as amended
on March 30, 1998 (the "Amendment No. 1"), as amended on April 9, 1998 (the
"Amendment No. 2") as amended on January 11, 1999 (the "Amendment No. 3")
(collectively, the "Filings"). This Amendment reflects certain gifts of
partnership interests in Rankin Associates II, L.P. (the "Partnership") made by
Mrs. Clara L.T. Rankin (one of the Reporting Persons under the Initial Filing)
effective May 14, 1999 to certain of Mrs. Rankin's descendants and spouses
thereof, either in their individual capacities or in their capacities as
trustees for trusts created for the benefit of certain of Mrs. Rankin's
descendants and spouses thereof ("Donees"). Certain of the Donees are Reporting
Persons under the Filings. This Amendment also reflects certain gifts of
partnership interests in the Partnership by Alfred M. Rankin, Jr. and Victoire
G. Rankin to their descendants and spouse thereof. In addition, this Amendment
reflects grants of shares of Class A Common as of February 9, 1999 to certain
Reporting Persons pursuant to the Company's Executive Long-Term Compensation
Plan. This Amendment is filed in order to provide information with respect to
Donees, to disclose each Donee's beneficial ownership of all 738,295 shares of
Class A Common held by the Partnership, as well as other shares of Class A
Common beneficially owned by such persons. This Amendment discloses only changes
in information from the Filings. Capitalized terms used herein but not defined
herein shall have the meanings assigned to such terms in the Initial Filing.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
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(a)-(b) The sixth paragraph under the heading "Item 5.
Interest in Securities of the Issuer" which appears in Amendment No. 3 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 charitable trust for 20 years and then for
the benefit of her grandchildren; (b) shares with NCB the power to vote and
dispose of 43,200 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 29,766 shares of Class A Common held in trust for the benefit of Helen Rankin
Butler; (e) shares with Clara T. Rankin the power to vote and dispose of 24,966
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
156,419 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 an additional 3,600 shares of Class A Common; and (i) 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 1,041,010 shares of Class A Common beneficially owned by Mr.
Rankin constitute approximately 15.9% of the Class A Common outstanding as of
April 30, 1999. The business address of Clara T. Rankin is 5875 Landerbrook
Drive, Mayfield Heights, Ohio 44124-4017. Clara T. Rankin is 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, Clara T.
Rankin and Helen Rankin Butler (individually or collectively) has not been
convicted in any criminal proceeding (excluding traffic violations or similar
misdemeanors), or
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CUSIP No. 629579 10 3 13D Page 6 of 7 Pages
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been a party to any civil proceeding of a judicial or administrative body of
competent jurisdiction as a result of which she was or is subject to a judgment,
decree, or final order enjoining future violations of, or prohibiting or
mandating activities subject to, federal or state securities laws or finding any
violation with respect to such laws.
The eleventh paragraph under the heading "Item 5. Interest in
Securities of the Issuer" which appears in the Amendment No. 3 reporting the
beneficial ownership of Class A Common by John C. Butler, Jr. is hereby deleted
and replaced in its entirety as follows:
JOHN C. BUTLER, JR. Mr. Butler (a) by virtue of the
Partnership Interests received as a gift from Clara L.T. Rankin, shares with RMI
and the other Reporting Individuals the power to dispose of 738,295 shares of
Class A Common; (b) has sole power to vote and dispose of 3,169 shares of Class
A Common held by Mr. Butler, and 155 shares of Class A Common held by Mr. Butler
as custodian for his minor daughter; and (c) is deemed to share with his spouse
the power to vote and dispose of 29,766 shares of Class A Common beneficially
owned by his spouse because she resides with him. Collectively, the 771,385
shares of Class A Common beneficially owned by Mr. Butler constitute
approximately 11.9% of the Class A Common outstanding as of April 30, 1999.
The fifteenth paragraph under the heading "Item 5. Interest in
Securities of the Issuer" which appears in the Amendment No. 3 reporting the
beneficial ownership of Class A Common by Victoire G. Rankin is hereby deleted
and replaced in its entirety as follows:
VICTOIRE G. RANKIN. Mrs. Rankin (a) by virtue of the
Partnership Interests received as a gift from Clara L.T. Rankin, shares with RMI
and the other Reporting Individuals the power to dispose of 738,295 shares of
Class A Common; (b) has the sole power to vote and dispose of 17,156 shares of
Class A Common; (c) is deemed to share the power to vote and dispose of 2,000
shares of Class A Common owned by a charitable trust for 20 years and then for
the benefit of the grandchildren of Clara L.T. Rankin because her spouse (Alfred
M. Rankin, Jr.) is Co-Trustee of such trust; (d) is deemed to share the power to
vote and dispose of 43,200 shares of Class A Common owned by a trust created for
the benefit of the grandchildren of Clara L.T. Rankin because her spouse is
Co-Trustee of such trust; (e) is deemed to share the power to vote and dispose
of 25,608 shares of Class A Common owned by a trust created for the benefit of
the grandchildren of Alfred M. Rankin, Sr. because her spouse is Co-Trustee of
such trust; (f) is deemed to share the power to vote and dispose of 29,766
shares of Class A Common owned by a trust created for the benefit of Helen
Rankin Butler because her spouse is co-trustee of such trust; (g) is deemed to
share the power to vote and dispose of 24,966 shares of Class A Common held in
trust for the benefit of Clara T. Rankin because her spouse is co-trustee of
such trust; (h) is deemed to share the power to vote and dispose of 156,419
shares of Class A Common owned by a revocable trust for the benefit of her
spouse because her spouse resides with her; and (i) is deemed to share the power
to vote and dispose of an additional 3,600 shares of Class A Common owned by her
spouse because her spouse resides with her. Collectively, the 1,041,010 shares
of Class A Common constitute approximately 15.9% of the Class A Common
outstanding as of April 30, 1999.
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CUSIP No. 629579 10 3 13D Page 7 of 7 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: May 28, 1999
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
REPORTING INDIVIDUALS
/s/ Alfred M. Rankin, Jr.*
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Name: ALFRED M. RANKIN, JR.
Name: RANKIN MANAGEMENT, INC.
By: /s/ Alfred M. Rankin, Jr.
---------------------------------------------
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*
Attorney-in-Fact for John C. Butler, Jr.*
Attorney-in-Fact for Matthew M. Rankin*
Attorney-in-Fact for James T. Rankin*
Attorney-in-Fact for Alison A. Rankin*
Attorney-in-Fact for Victoire G. Rankin*
Attorney-in-Fact for Corbin Rankin*
Attorney-in-Fact for Chloe O. Rankin*
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* The power of attorney authorizing the above named individuals 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
Initial Filing.
