Annual Statement of Changes in Beneficial Ownership (5)
February 14 2020 - 11:42AM
Edgar (US Regulatory)
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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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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0362
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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
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RANKIN ROGER F | 2. Issuer Name and Ticker or Trading SymbolHYSTER-YALE MATERIALS HANDLING, INC. [HY] |
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)
5875 LANDERBROOK DRIVE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2019 |
(Street)
MAYFIELD HEIGHTS, OH 44124
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 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) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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) |
Amount | (A) or (D) | Price |
Class A Common Stock | 12/5/2019 | | G | 377 | A | $0 | 1057 | I | Interest in shares held by Rankin Associates V |
Class A Common Stock | 12/5/2019 | | G | 377 | A | $0 | 377 | I | spouse's proportionate interests held in shares in Rankin Associates V |
Class A Common Stock | 12/5/2019 | | G | 378 | A | $0 | 483 | I | Child's proportionate interest in shares held by Rankin Associates V (1) |
Class A Common Stock | 12/5/2019 | | G | 378 | A | $0 | 483 | I | Child's proportionate interest in shares held by Rankin Associates V (1) |
Class A Common Stock | 12/5/2019 | | G | 444 | D | $0 | 3839 | I | proportionate limited partnership interests in shares held by Rankin Associates II, L.P |
Class A Common Stock | 12/5/2019 | | G | 222 | A | $0 | 18627 | I | daughter's proportionate LP interest in shares held by RA II LP held in a trust (1) |
Class A Common Stock | 12/5/2019 | | G | 222 | A | $0 | 20759 | I | daughter's proportionate LP interest in shares held by RA II LP held in a trust (1) |
Class A Common Stock | 12/5/2019 | | G | 111 | A | $0 | 18627 | I | daughter's proportionate LP interest in shares held by RA II LP held in a trust (1) |
Class A Common Stock | 12/5/2019 | | G | 111 | A | $0 | 20759 | I | daughter's proportionate LP interest in shares held by RA II LP held in a trust (1) |
Class A Common Stock | | | | | | | 54147 | I | spouses proportionate LP interest in shares held by RA1 (1) |
Class A Common Stock | | | | | | | 29986 | I | spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P (1) |
Class A Common Stock | | | | | | | 635 | I | Spouse's proportionate interest in shares held by Rankin Associates VI (1) |
Class A Common Stock | | | | | | | 16828 | I | spouse serves as Trustee of a Trust for the benefit of Alison Rankin (1) |
Class A Common Stock | | | | | | | 200 | I | Reporting person serves as Trustee for the benefit of Elisabeth Rankin |
Class A Common Stock | | | | | | | 765 | I | Reporting person serves as co-trustee of trust fbo Elisabeth M. Rankin |
Class A Common Stock | | | | | | | 1851 | I | Spouse is Trustee for the benefit of Reporting Person's daughter. (1) |
Class A Common Stock | | | | | | | 535 | I | Child's Proportionate interest of shares held by Rankin Associates VI (2) |
Class A Common Stock | | | | | | | 1209 | I | Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin |
Class A Common Stock | | | | | | | 535 | I | Child's Proportionate interest in shares held by Rankin Associates VI (3) |
Class A Common Stock | | | | | | | 3738 | I | Spouse is Co-Trustee for the benefit of Reporting Person's daughter. (1) |
Class A Common Stock | | | | | | | 47141 | I | Serves as Trustee of GSTs for the benefit of A. Farnham Rankin |
Class A Common Stock | | | | | | | 47141 | I | Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin |
Class A Common Stock | | | | | | | 19 | I | proportionate general partnership interest in shares of Rankin Associates IV, |
Class A Common Stock | | | | | | | 3448 | I | proportionate limited partnership interest in shares held by Rankin Associates I, L.P |
Class A Common Stock | | | | | | | 65824 | I | proportionate limited partnership interest in shares held by Rankin Associates IV, L.P |
Class A Common Stock | | | | | | | 292 | I | Proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | | | | | | | 80 | I | Interest in shares of Rankin Associates V held by Rankin Management |
Class A Common Stock | | | | | | | 100 | I | Interest in shares of Rankin Associates VI held by Rankin Management |
Class A Common Stock | | | | | | | 1975 | I | proportionate interest in shares held by Rankin Management, Inc. ("RMI). |
Class A Common Stock | | | | | | | 192662 | I | Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Class B Common Stock | | 12/5/2019 | | G | | 444 | (4) | (4) | Class A Common Stock | 444 | $0 | 3839 | I | Reporting Person's proportionate limited partnership interests in shares held by RA II |
Class B Common Stock | | 12/5/2019 | | G | 222 | | (4) | (4) | Class A Common Stock | 222 | $0 | 18627 | I | daughter's proportionate LP interest in shares held by RA II LP held in a trust (1) |
Class B Common Stock | | 12/5/2019 | | G | 222 | | (4) | (4) | Class A Common Stock | 222 | $0 | 20759 | I | daughter's proportionate LP interest in shares held by RA II LP held in a trust (1) |
Class B Common Stock | | 12/5/2019 | | G | 111 | | (4) | (4) | Class A Common Stock | 111 | $0 | 18627 | I | daughter's proportionate LP interest in shares held by RA II LP held in a trust (1) |
Class B Common Stock | | 12/5/2019 | | G | 111 | | (4) | (4) | Class A Common Stock | 111 | $0 | 20759 | I | daughter's proportionate LP interest in shares held by RA II LP held in a trust (1) |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 444 | | 444 | I | Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 96861 | | 96861 | I | Spouses proportionate LP interest in shares held by RA1 (1) |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 29986 | | 29986 | I | spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P (1) |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 3123 | | 3123 | I | spouse serves as Trustee of a Trust for the benefit of Alison Rankin (1) |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 200 | | 200 | I | Reporting person serves as Trustee for the benefit of Elisabeth Rankin |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 1851 | | 1851 | I | Spouse is Trustee for the benefit of Reporting Person's daughter (1) |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 3738 | | 3738 | I | Spouse is Co-Trustee for the benefit of Reporting Person's daughter. (1) |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 6889 | | 6889 | I | Serves as Trustee of GSTs for the benefit of A. Farnham Rankin |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 6889 | | 6889 | I | Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 31 | | 31 | I | general partnership interest in shares of Rankin Associates IV, L.P |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 6168 | | 6168 | I | proportionate limited partnership interest in shares held by Rankin Associates I, L.P |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 104286 | | 104286 | I | proportionate limited partnership interest in shares held by Rankin Associates IV, L.P |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 1975 | | 1975 | I | proportionate interest in shares held by Rankin Management, Inc. ("RMI). |
Class B Common Stock | | | | | | | (4) | (4) | Class A Common Stock | 193760 | | 193760 | I | Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin |
Explanation of Responses: |
(1) | Reporting Person disclaims beneficial ownership of all such shares. |
(2) | Held in trust u/a/d 12/30/2015 |
(3) | Interest held by Trust u/a/d 8/15/2012 |
(4) | N/A |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RANKIN ROGER F 5875 LANDERBROOK DRIVE MAYFIELD HEIGHTS, OH 44124 |
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| Member of a Group |
Signatures
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/s/ Suzanne S. Taylor, attorney-in-fact | | 1/30/2020 |
**Signature of Reporting Person | Date |
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