Statement of Changes in Beneficial Ownership (4)
October 07 2016 - 2:38PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
RANKIN ALISON A
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2. Issuer Name
and
Ticker or Trading Symbol
HYSTER-YALE MATERIALS HANDLING, INC.
[
HY
]
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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
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(Last)
(First)
(Middle)
5875 LANDERBROOK DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/5/2016
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(Street)
MAYFIELD HEIGHTS, OH 44124
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock
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10/5/2016
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P
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3
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A
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$61.2618
(1)
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43
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I
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spouse's interest in shares of Rankin Associates V held by Rankin Management, Inc. ("RMI")
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Class A Common Stock
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10/5/2016
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P
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1
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A
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$61.7202
(2)
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44
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I
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spouse's interest in shares of Rankin Associates V held by Rankin Management, Inc. ("RMI")
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Class A Common Stock
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10/5/2016
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P
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3
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A
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$61.2618
(1)
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43
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I
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spouse's interest in shares of Rankin Associates VI held by Rankin Management, Inc. ("RMI")
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Class A Common Stock
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10/5/2016
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P
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13
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A
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$61.2618
(1)
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178
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I
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Spouse's proportionate interests in shares held by Rankin Associates V
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Class A Common Stock
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10/5/2016
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P
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675
(3)
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A
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$61.2618
(1)
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13058
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I
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Spouse serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
(4)
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Class A Common Stock
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10/5/2016
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P
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74
(3)
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A
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$61.7202
(2)
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13132
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I
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Spouse serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
(4)
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Class A Common Stock
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10/5/2016
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P
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675
(3)
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A
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$61.2618
(1)
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13058
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I
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Spouse serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
(4)
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Class A Common Stock
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10/5/2016
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P
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74
(3)
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A
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$61.7202
(2)
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13132
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I
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Spouse serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
(4)
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Class A Common Stock
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10/6/2016
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P
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1
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A
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$61.34
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45
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I
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spouse's interest in shares of Rankin Associates V held by Rankin Management, Inc. ("RMI")
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Class A Common Stock
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10/6/2016
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P
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1
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A
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$61.34
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44
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I
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spouse's interest in shares of Rankin Associates VI held by Rankin Management, Inc. ("RMI")
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Class A Common Stock
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10/6/2016
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P
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1
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A
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$61.34
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179
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I
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Spouse's proportionate interests in shares held by Rankin Associates V
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Class A Common Stock
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10/6/2016
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P
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53
(3)
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A
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$61.34
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13185
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I
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Spouse serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
(4)
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Class A Common Stock
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10/6/2016
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P
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53
(3)
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A
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$61.34
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13185
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I
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Spouse serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
(4)
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Class A Common Stock
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54147
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I
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proportionate limited partnership interest in shares held by Rankin Associates I, L.P
(5)
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Class A Common Stock
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2116
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I
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Reporting Person?s proportionate interests in shares held by Rankin Associates II.
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Class A Common Stock
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3123
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I
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Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin
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Class A Common Stock
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765
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I
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Reporting person serves as co-trustee of trust fbo Elisabeth M. Rankin
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Class A Common Stock
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19576
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I
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Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.
(5)
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Class A Common Stock
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1851
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I
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Co-Trustee for the benefit of Reporting Person's daughter.
(5)
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Class A Common Stock
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200
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I
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Spouse serves as custodian for minor child
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Class A Common Stock
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965
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I
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Spouse serves as Trustee for the benefit of A. Farnham Rankin
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Class A Common Stock
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17688
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I
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Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.
(5)
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Class A Common Stock
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3738
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I
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Co-Trustee for the benefit of Reporting Person's daughter.
(5)
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Class A Common Stock
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0
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I
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Spouse serves as custodian for A. Farnham Rankin UGMA
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Class A Common Stock
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19
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I
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Spouse's proportionate general partnership interest shares held by RAIV.
(5)
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Class A Common Stock
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3448
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I
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Spouse's proportionate interests in shares held by Rankin Associates I.
(5)
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Class A Common Stock
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33287
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I
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spouse's proportionate limited partnership interest in shares held by RA II, L.P
(5)
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Class A Common Stock
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65824
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I
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Spouse's proportionate interests in shares held by Rankin Associates IV.
(5)
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Class A Common Stock
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1975
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I
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spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI").
(5)
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Class A Common Stock
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192662
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I
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spouse serves as Trustee of a Trust for the benefit of Roger F. Rankin
(5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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96861
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96861
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I
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proportionate limited partnership interest in shares held by Rankin Associates I, L.P
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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2116
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2116
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I
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Reporting Person?s proportionate interests in shares held by Rankin Associates II.
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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3123
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3123
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I
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Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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6598
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6598
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I
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Spouse serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
(4)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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6598
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6598
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I
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Spouse serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
(4)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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19576
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19576
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I
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Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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1851
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1851
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I
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Co-Trustee for the benefit of Reporting Person's daughter.
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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200
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200
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I
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Spouse serves as Custodian for the minor child
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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200
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200
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I
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Spouse Serves as Trustee for the benefit of A. Farnham Rankin
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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17688
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17688
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I
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Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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3738
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3738
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I
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Co-Trustee for the benefit of Reporting Person's daughter.
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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0
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0
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I
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Spouse is custodian of A. Farnham Rankin UGMA
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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31
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31
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I
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Reporting Person's spouse's proportionate GP interest in shares of Rankin Associates IV
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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6168
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6168
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I
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Spouses proportionate LP interest in shares held by RA1
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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33287
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33287
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I
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spouse's proportionate limited partnership interest in shares held by RA II, L.P
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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104286
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104286
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I
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Spouse's proportionate interests in shares held by Rankin Associates IV.
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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1975
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1975
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I
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spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI").
(5)
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Class B Common Stock
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(6)
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(6)
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(6)
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Class A Common Stock
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193760
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193760
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I
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spouse serves as Trustee of a Trust for the benefit of Roger F. Rankin
(5)
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Explanation of Responses:
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(
1)
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Oct. 5, 2016-Weighted Average Block 1- Share Price represents average price between $60.67 and $61.65.
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(
2)
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Oct. 5, 2016-Weighted Average Block 2- Share Price represents average price between $61.67 and $61.76.
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(
3)
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Proportionate Interest in shares held by RA6
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(
4)
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child's proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a trust for the benefit of the child
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(
5)
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Reporting Person disclaims beneficial ownership of all such shares.
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(
6)
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N/A
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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RANKIN ALISON A
5875 LANDERBROOK DRIVE
MAYFIELD HEIGHTS, OH 44124
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Member of a Group
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Signatures
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/s/ Suzanne S. Taylor, attorney-in-fact
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10/7/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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