Statement of Changes in Beneficial Ownership (4)
December 17 2021 - 2:55PM
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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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 JAMES T |
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 |
(Last)
(First)
(Middle)
5875 LANDERBROOK DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/15/2021 |
(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 | 12/15/2021 | | J(1) | | 15683 | A | $0 | 31536 | I | Held by Trust |
Class A Common Stock | 12/15/2021 | | J(2) | | 9796 | D | $0 | 0 | I | proportionate limited partnership interests in shares held by RA II LP |
Class A Common Stock | 12/15/2021 | | J(2) | | 2814 | D | $0 | 0 | I | Co-trustee of trust fbo niece. Reflects proportionate interests in Rankin Assoc II shares. (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 2666 | D | $0 | 0 | I | Co-trustee of trust fbo nephew. Reflects proportionate interests in Rankin Assoc II shares. (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 1439 | D | $0 | 0 | I | Minor child?s proportionate interests in shares held by Rankin Associates II. (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 1247 | D | $0 | 0 | I | child's proportionate limited partnership interest in shares held by Rankin Associates II |
Class A Common Stock | 12/15/2021 | | J(2) | | 1135 | D | $0 | 0 | I | proportionate interest in shares held by Rankin Associates V |
Class A Common Stock | 12/15/2021 | | J(2) | | 862 | D | $0 | 0 | I | Spouse's proportionate limited partnership interests in shares held by Rankin Associates II LP (3) |
Class A Common Stock | 12/15/2021 | | J(1) | | 645 | A | $0 | 1290 | I | co-trustee of trust for the benefit of minor niece (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 635 | D | $0 | 0 | I | Spouse's proportionate interest in shares held by Rankin Associates VI (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 634 | D | $0 | 0 | I | Co-trustee of trust fbo niece. Reflects proportionate interests in Rankin Assoc VI shares (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 634 | D | $0 | 0 | I | Co-trustee of trust fbo nephew. Reflects proportionate interests in Rankin Assoc VI shares (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 634 | D | $0 | 0 | I | Child's proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | 12/15/2021 | | J(2) | | 634 | D | $0 | 0 | I | Child's proportionate interest in shares held by Rankin Associates VI (3) |
Class A Common Stock | 12/15/2021 | | J(1) | | 563 | A | $0 | 1126 | I | Shares held by spouse (3) |
Class A Common Stock | 12/15/2021 | | J(1) | | 563 | A | $0 | 1126 | I | co-trustee of the trust for the benefit of the minor nephew (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 535 | D | $0 | 0 | I | Proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | 12/15/2021 | | J(2) | | 461 | D | $0 | 0 | I | Child's proportionate interests held in shares in Rankin Associates V (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 461 | D | $0 | 0 | I | Child's proportionate interests held in shares in Rankin Associates V (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 461 | D | $0 | 0 | I | Co-trustee of trust fbo niece; niece's proportionate interests held in shares in Rankin Associates V (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 461 | D | $0 | 0 | I | Co-trustee of trust fbo nephew; nephew proportionate interests held in shares in Rankin Associates V (3) |
Class A Common Stock | 12/15/2021 | | J(2) | | 377 | D | $0 | 0 | I | Spouse's proportionate interests held in shares in Rankin Associates V (3) |
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) | 12/15/2021 | | J (1) | | | 15683 | (4) | (4) | Class A Common Stock | 15683 | $0 | 0 | D | |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 9796 | | (4) | (4) | Class A Common Stock | 9796 | $0 | 19592 | I | proportionate limited partnership interests in shares held by RA II, L.P |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 2814 | | (4) | (4) | Class A Common Stock | 2814 | $0 | 5628 | I | Co-trustee of trust fbo niece. Reflects proportionate interests in Rankin Assoc II shares. (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 2666 | | (4) | (4) | Class A Common Stock | 2666 | $0 | 5332 | I | Co-trustee of trust fbo nephew. Reflects proportionate interests in Rankin Assoc II shares. (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 1439 | | (4) | (4) | Class A Common Stock | 1439 | $0 | 2878 | I | As Custodian for reporting person's minor child's proportionate interest in RAII shares (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 1247 | | (4) | (4) | Class A Common Stock | 1247 | $0 | 2494 | I | child's proportionate limited partnership interest in shares held by Rankin Associates II |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 1135 | | (4) | (4) | Class A Common Stock | 1135 | $0 | 1135 | I | Proportionate interest in shares held by Rankin Associates V |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 862 | | (4) | (4) | Class A Common Stock | 862 | $0 | 1724 | I | Spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | | 645 | (4) | (4) | Class A Common Stock | 645 | $0 | 0 | I | Held through a trust for Reporting Person's minor niece/nephew (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 635 | | (4) | (4) | Class A Common Stock | 635 | $0 | 635 | I | Spouse's proportionate interest in shares held by Rankin Associates VI (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 634 | | (4) | (4) | Class A Common Stock | 634 | $0 | 634 | I | Co-trustee of trust fbo niece. Reflects proportionate interests in Rankin Assoc VI shares (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 634 | | (4) | (4) | Class A Common Stock | 634 | $0 | 634 | I | Co-trustee of trust fbo nephew. Reflects proportionate interests in Rankin Assoc VI shares (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 634 | | (4) | (4) | Class A Common Stock | 634 | $0 | 634 | I | Child's proportionate interest in shares held by Rankin Associates VI (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 634 | | (4) | (4) | Class A Common Stock | 634 | $0 | 634 | I | Child's proportionate interest in shares held by Rankin Associates VI (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | | 563 | (4) | (4) | Class A Common Stock | 563 | $0 | 0 | I | By Spouse. (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | | 563 | (4) | (4) | Class A Common Stock | 563 | $0 | 0 | I | co-trustee of the trust for the benefit of the minor nephew (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 535 | | (4) | (4) | Class A Common Stock | 535 | $0 | 535 | I | Proportionate interest in shares held by Rankin Associates VI |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 461 | | (4) | (4) | Class A Common Stock | 461 | $0 | 461 | I | Child's proportionate interests held in shares in Rankin Associates V (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 461 | | (4) | (4) | Class A Common Stock | 461 | $0 | 461 | I | Child's proportionate interests held in shares in Rankin Associates V (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 461 | | (4) | (4) | Class A Common Stock | 461 | $0 | 461 | I | Co-trustee of trust fbo niece; niece's proportionate interests held in shares in Rankin Associates V (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 461 | | (4) | (4) | Class A Common Stock | 461 | $0 | 461 | I | Co-trustee of trust fbo nephew; nephew proportionate interests held in shares in Rankin Associates V (3) |
Class B Common Stock | (4) | 12/15/2021 | | J (2) | | 377 | | (4) | (4) | Class A Common Stock | 377 | $0 | 377 | I | Spouse's proportionate interests held in shares in Rankin Associates V (3) |
Explanation of Responses: |
(1) | Class B shares were exchanged for Class A shares pursuant to the terms of the Stockholders' Agreement dated September 28, 2012, as amended. |
(2) | Class A shares were exchanged for Class B shares pursuant to the terms of the Stockholders' Agreement dated September 28, 2012, as amended. |
(3) | Reporting Person disclaims beneficial ownership of all such shares. |
(4) | N/A |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RANKIN JAMES T 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 | | 12/17/2021 |
**Signature of Reporting Person | Date |
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