Statement of Changes in Beneficial Ownership (4)
February 20 2020 - 2:13PM
Edgar (US Regulatory)
FORM 4
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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).
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
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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
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RANKIN VICTOIRE G |
2. Issuer Name and Ticker or Trading Symbol
HYSTER-YALE MATERIALS HANDLING, INC.
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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 |
(Last)
(First)
(Middle)
5875 LANDERBROOK DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/18/2020 |
(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 | 2/18/2020 | | M(1) | | 28014 | A | $0 | 208683 | I | spouse serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr (2) |
Class A Common Stock | 2/18/2020 | | F(3) | | 661 | D | $55.56 | 208022 | I | spouse serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr (2) |
Class A Common Stock | | | | | | | | 9600 | I | spouse serves as Trustee of Trusts for the benefit of each of grantor's grandchildren (2) |
Class A Common Stock | | | | | | | | 14752 | I | Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse (2) |
Class A Common Stock | | | | | | | | 10271 | I | Spouse's proportionate limited partnership interest in shares held by RA1 (2) |
Class A Common Stock | | | | | | | | 97 | I | Spouses's proportionate limited parternship interest in shares held by AMR RAII (2) |
Class A Common Stock | | | | | | | | 19 | I | Spouse's proporationate partnership interest in RAIV (2) |
Class A Common Stock | | | | | | | | 1087 | I | Spouses proportionate limited partnership interest in shares held by Rankin Associates IV, L.P |
Class A Common Stock | | | | | | | | 292 | I | Spouse's proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | | | | | | | | 1057 | I | Represents spouse's proportionate interest in shares held by Rankin Associates V |
Class A Common Stock | | | | | | | | 1975 | I | spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI") (2) |
Class A Common Stock | | | | | | | | 80 | I | spouse's proportionate interest in shares held by RAV held by Rankin Management, Inc. |
Class A Common Stock | | | | | | | | 100 | I | spouse's proportionate interest in shares held by RAVI held by Rankin Management, Inc. |
Class A Common Stock | | | | | | | | 20987 | I | spouse serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin, Sr (2) |
Class A Common Stock | | | | | | | | 42666 | I | Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust's proportionate interest of RA1 (2) |
Class A Common Stock | | | | | | | | 23989 | I | Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust proporationate interest in RAII (2) |
Class A Common Stock | | | | | | | | 46182 | I | Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust's proportionate interest of RA4 (2) |
Class A Common Stock | | | | | | | | 377 | I | spouse's brother's proportionate interests held in shares in Rankin Associates V |
Class A Common Stock | | | | | | | | 636 | I | Spouse's brother's proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | | | | | | | | 73450 | I | Spouse is a Trustee of a Trust for the benefit of Bruce T. Rankin (2) |
Class A Common Stock | | | | | | | | 1503 | I | Spouse serves as trustee of Trust fbo Clara LT Rankin representing interest in shares held by RA5 |
Class A Common Stock | | | | | | | | 23629 | I | spouse serves as the Trustee of the Trust which is held for the benefit of Clara LT Rankin |
Class A Common Stock | | | | | | | | 377 | I | Reporting person's proportionate interest in shares held by Rankin Associates 5 |
Class A Common Stock | | | | | | | | 635 | I | Reporting person's proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | | | | | | | | 105768 | I | spouse serves as the Trustee of the Trust which is held for the benefit of the Reporting person |
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) | 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 | 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 Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 15982 | | 15982 | I | Represents Spouse's proportionate limited partnership interest in shares held by AMR Associates LP |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 9600 | | 9600 | I | spouse serves as Trustee of Trusts for the benefit of each of grantor's grandchildren (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 14160 | | 14160 | I | Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 17556 | | 17556 | I | spouse serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 18373 | | 18373 | I | Spouses proportionate limited partnership interest in shares held by Rankin Associates I. (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 97 | | 97 | I | Spouses proportionate limited partnership interest in shares held by Rankin Associates II (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 31 | | 31 | I | RAIV General Partnership |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 1721 | | 1721 | I | Spouses Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 1975 | | 1975 | I | spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI") (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 18625 | | 18625 | I | spouse serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin, Sr (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 76330 | | 76330 | I | Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust proporationate interest in RAI (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 23989 | | 23989 | I | Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust proporationate interest in RAII (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 73166 | | 73166 | I | Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust proporationate interest in RAIV (5) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 747 | | 747 | I | Spouse is a Trustee of a Trust, Trusts proportionate interest of Class A Trust (2) |
Class B Common Stock | (4) | | | | | | | (4) | (4) | Class A Common Stock | 21006 | | 21006 | I | spouse serves as the Trustee of the Trust which is held for the benefit of the Reporting person |
Explanation of Responses: |
(1) | Spouse's LTIP Award-Shares of Class A Common Stock awarded to the Reporting Person under the company's Long-Term Incentive Compensation Plan |
(2) | Reporting Person disclaims beneficial ownership of all such shares. |
(3) | Spouse's Cashless-Exercise-Award shares that Reporting Person's spouse surrendered to Company in order to satisfy his/her tax withholding obligations with respect to his/her LTIP Stock Award |
(4) | N/A |
(5) | BTR RA4-Represents the proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person's spouse serves as the Trustee of the Trust which is held for the benefit of Bruce T Rankin. Reporting person disclaims beneficial ownership of all such shares. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RANKIN VICTOIRE G 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 | | 2/20/2020 |
**Signature of Reporting Person | Date |
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