Statement of Changes in Beneficial Ownership (4)
July 14 2017 - 12:08PM
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 ROGER F
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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)
7/7/2017
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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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7/7/2017
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J
(1)
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V
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200
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D
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$0
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0
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I
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Reporting Person Serves as Custodian of UGMA for the benefit of Elisabeth M. Rankin
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Class A Common Stock
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7/7/2017
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J
(1)
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V
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200
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A
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$0
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200
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I
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Reporting person serves as Trustee for the benefit of Elisabeth Rankin
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Class A Common Stock
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54147
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I
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spouses proportionate LP interest in shares held by RA1
(2)
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Class A Common Stock
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29986
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I
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spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P
(2)
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Class A Common Stock
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3123
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I
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spouse serves as Trustee of a Trust for the benefit of Alison Rankin
(2)
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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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19875
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I
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daughter's proportionate LP interest in shares held by RA II LP held in a trust
(2)
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Class A Common Stock
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1851
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I
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Spouse is Trustee for the benefit of Reporting Person's daughter.
(2)
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Class A Common Stock
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965
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I
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Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
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Class A Common Stock
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17987
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I
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daughter's proportionate LP interest in shares held by RA II LP held in a trust
(2)
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Class A Common Stock
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3738
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I
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Spouse is Co-Trustee for the benefit of Reporting Person's daughter.
(2)
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Class A Common Stock
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13185
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I
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Serves as Trustee of GSTs for the benefit of A. Farnham Rankin
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Class A Common Stock
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13185
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I
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Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
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Class A Common Stock
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19
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I
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proportionate general partnership interest in shares of Rankin Associates IV,
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Class A Common Stock
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3448
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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 A Common Stock
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5019
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I
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proportionate limited partnership interests in shares held by Rankin Associates II, L.P
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Class A Common Stock
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65824
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I
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proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
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Class A Common Stock
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179
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I
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Interest in shares held by Rankin Associates V
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Class A Common Stock
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45
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I
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Interest in shares of Rankin Associates V held by Rankin Management
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Class A Common Stock
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44
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I
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Interest in shares of Rankin Associates VI held by Rankin Management
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Class A Common Stock
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1975
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I
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proportionate interest in shares held by Rankin Management, Inc. ("RMI).
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Class A Common Stock
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192662
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I
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Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin
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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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(3)
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7/7/2017
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J
(4)
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V
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200
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(3)
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(3)
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Class A Common Stock
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200
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$0
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0
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I
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Reporting Person Serves as Custodian of UGMA for the benefit of Elisabeth M. Rankin
(2)
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Class B Common Stock
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(3)
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7/7/2017
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J
(4)
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V
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200
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(3)
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(3)
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Class A Common Stock
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200
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$0
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200
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I
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Reporting person serves as Trustee for the benefit of Elisabeth Rankin
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Class B Common Stock
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(3)
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(3)
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(3)
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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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Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
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Class B Common Stock
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(3)
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(3)
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(3)
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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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Spouses proportionate LP interest in shares held by RA1
(2)
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Class B Common Stock
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(3)
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(3)
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(3)
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Class A Common Stock
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29986
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29986
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I
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spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P
(2)
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Class B Common Stock
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(3)
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(3)
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(3)
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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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spouse serves as Trustee of a Trust for the benefit of Alison Rankin
(2)
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Class B Common Stock
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(3)
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(3)
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(3)
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Class A Common Stock
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19875
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19875
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I
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daughter's proportionate LP interest in shares held by RA II LP held in a trust
(2)
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Class B Common Stock
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(3)
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(3)
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(3)
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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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Spouse is Trustee for the benefit of Reporting Person's daughter
(2)
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Class B Common Stock
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(3)
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(3)
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(3)
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Class A Common Stock
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17987
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17987
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I
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daughter's proportionate LP interest in shares held by RA II LP held in a trust
(2)
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Class B Common Stock
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(3)
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(3)
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(3)
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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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Spouse is Co-Trustee for the benefit of Reporting Person's daughter.
(2)
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Class B Common Stock
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(3)
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(3)
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(3)
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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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Serves as Trustee of GSTs for the benefit of A. Farnham Rankin
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Class B Common Stock
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(3)
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(3)
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(3)
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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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Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
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Class B Common Stock
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(3)
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(3)
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(3)
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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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general partnership interest in shares of Rankin Associates IV, L.P
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Class B Common Stock
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(3)
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(3)
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(3)
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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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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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(3)
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(3)
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(3)
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Class A Common Stock
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5019
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5019
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I
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Reporting Person's proportionate limited partnership interests in shares held by RA II
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Class B Common Stock
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(3)
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(3)
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(3)
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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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proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
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Class B Common Stock
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(3)
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(3)
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(3)
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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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proportionate interest in shares held by Rankin Management, Inc. ("RMI).
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Class B Common Stock
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(3)
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(3)
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(3)
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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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Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin
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Explanation of Responses:
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(1)
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UGMA Transfer-Shares transferred to trust for the benefit of the Reporting Person when reporting person reached 21 years of age, pursuant to the terms of custodial account for the benefit of Reporting Person under the Uniform Gifts to Minors Act.
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(2)
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Reporting Person disclaims beneficial ownership of all such shares.
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(3)
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N/A
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(4)
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UGMA Transfer-Shares transferred to trust for the benefit of the Reporting Person when reporting person reached 21 years of age, pursuant to the terms of custodial account for the benefit of Reporting Person under the Uniform Gifts to Minors Act.
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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 ROGER F
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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7/12/2017
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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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