Statement of Changes in Beneficial Ownership (4)
December 17 2021 - 3:12PM
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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BUTLER HELEN RANKIN |
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, SUITE 300 |
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) | | 18761 | D | $0 | 0 | I | proportionate limited partnership interest in shares held by Rankin Associates I, L.P. |
Class A Common Stock | 12/15/2021 | | J(1) | | 8228 | D | $0 | 0 | I | Serves as Trustee of BTR 2020 GST trust fbo Helen Butler |
Class A Common Stock | 12/15/2021 | | J(1) | | 4825 | D | $0 | 0 | I | Serves as Trustee of JCB 2020 GST trust fbo Griffin Butler (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 4825 | D | $0 | 0 | I | Serves as Trustee of JCB 2020 GST trust fbo Clara Butler (3) |
Class A Common Stock | 12/15/2021 | | J(1) | | 9052 | D | $0 | 0 | I | child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P (4) |
Class A Common Stock | 12/15/2021 | | J(1) | | 9208 | D | $0 | 0 | I | child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P (4) |
Class A Common Stock | 12/15/2021 | | J(1) | | 32912 | D | $0 | 0 | I | proportionate limited partnership interests in shares held by Rankin Associates IV, L.P. |
Class A Common Stock | 12/15/2021 | | J(1) | | 461 | D | $0 | 0 | I | child's proportionate interests held in shares in Rankin Associates V (4) |
Class A Common Stock | 12/15/2021 | | J(1) | | 461 | D | $0 | 0 | I | child's proportionate interests held in shares in Rankin Associates V (4) |
Class A Common Stock | 12/15/2021 | | J(1) | | 146 | D | $0 | 0 | I | Reporting person's proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | 12/15/2021 | | J(1) | | 634 | D | $0 | 0 | I | Child's proportionate interest in shares held by Rankin Associates VI (4) |
Class A Common Stock | 12/15/2021 | | J(1) | | 634 | D | $0 | 0 | I | Child's proportionate interest in shares held by Rankin Associates VI (4) |
Class A Common Stock | 12/15/2021 | | J(1) | | 527 | D | $0 | 1216 | I | Child's proportionate partnership interest shares held by AMR Associates LP (4) |
Class A Common Stock | 12/15/2021 | | J(1) | | 527 | D | $0 | 1216 | I | Child's proportionate partnership interest shares held by AMR Associates LP (4) |
Class A Common Stock | 12/15/2021 | | J(1) | | 26624 | D | $0 | 165124 | I | proportionate partnership interest shares held by AMR Associates LP |
Class A Common Stock | 12/15/2021 | | J(5) | | 17262 | A | $0 | 50387 | I | spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust. (4) |
Class A Common Stock | 12/15/2021 | | J(5) | | 3683 | A | $0 | 8196 | I | held in Trust for the benefit of Reporting Person's child (4) |
Class A Common Stock | 12/15/2021 | | J(5) | | 3527 | A | $0 | 7884 | I | held in trust for the benefit of Reporting Person's child (4) |
Class A Common Stock | 12/15/2021 | | J(5) | | 58586 | A | $0 | 179314 | I | held by Trust for the benefit of Reporting Person |
Class A Common Stock | | | | | | | | 2800 | I | Individual Retirement Account for the benefit of the Reporting Person's spouse (4) |
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 | (6) | 12/15/2021 | | J (1) | | 18761 | | (6) | (6) | Class A Common Stock | 18761 | $0 | 52321 | I | proportionate limited partnership interest in shares held by Rankin Associates I, L.P. |
Class B Common Stock | (7) | 12/15/2021 | | J (1) | | 8228 | | (8) | (9) | Class A Common Stock | 8228 | $0 | 20160 | I | Serves as Trustee of BTR 2020 GST trust fbo Helen Butler |
Class B Common Stock | (10) | 12/15/2021 | | J (1) | | 4825 | | (11) | (12) | Class A Common Stock | 4825 | $0 | 8880 | I | Trustee of JCB 2020 GST trust fbo son. Reflects proportionate interest held in shares in RAII (13) |
Class B Common Stock | (14) | 12/15/2021 | | J (1) | | 4825 | | (15) | (16) | Class A Common Stock | 4825 | $0 | 8879 | I | Trustee of JCB 2020 GST trust fbo daughter. Reflects proportionate interest held in shares in RAII (17) |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 9052 | | (6) | (6) | Class A Common Stock | 9052 | $0 | 18104 | I | child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P (4) |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 9208 | | (6) | (6) | Class A Common Stock | 9208 | $0 | 18416 | I | child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P (4) |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 32912 | | (6) | (6) | Class A Common Stock | 32912 | $0 | 85056 | I | proportionate limited partnership interests in shares held by Rankin Associates IV, L.P. |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 461 | | (6) | (6) | Class A Common Stock | 461 | $0 | 461 | I | child's proportionate interests held in shares in Rankin Associates V (4) |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 461 | | (6) | (6) | Class A Common Stock | 461 | $0 | 461 | I | child's proportionate interests held in shares in Rankin Associates V (4) |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 146 | | (6) | (6) | Class A Common Stock | 146 | $0 | 146 | I | Reporting person's proportionate interest in shares held by Rankin Associates VI |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 634 | | (6) | (6) | Class A Common Stock | 634 | $0 | 634 | I | Child's proportionate interest in shares held by Rankin Associates VI (4) |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 634 | | (6) | (6) | Class A Common Stock | 634 | $0 | 634 | I | Child's proportionate interest in shares held by Rankin Associates VI (4) |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 527 | | (6) | (6) | Class A Common Stock | 527 | $0 | 2560 | I | Child's proportionate partnership interest shares held by AMR Associates LP |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 527 | | (6) | (6) | Class A Common Stock | 527 | $0 | 2560 | I | Child's proportionate partnership interest shares held by AMR Associates LP |
Class B Common Stock | (6) | 12/15/2021 | | J (1) | | 26624 | | (6) | (6) | Class A Common Stock | 26624 | $0 | 129223 | I | proportionate partnership interest shares held by AMR Associates LP |
Class B Common Stock | (6) | 12/15/2021 | | J (5) | | | 17262 | (6) | (6) | Class A Common Stock | 17262 | $0 | 0 | I | spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust. (4) |
Class B Common Stock | (6) | 12/15/2021 | | J (5) | | | 3683 | (6) | (6) | Class A Common Stock | 3683 | $0 | 0 | I | held by Trust for the benefit of Reporting Person's child |
Class B Common Stock | (6) | 12/15/2021 | | J (5) | | | 3527 | (6) | (6) | Class A Common Stock | 3527 | $0 | 0 | I | held by trust for the benefit of Reporting Person's child (4) |
Class B Common Stock | (6) | 12/15/2021 | | J (5) | | | 58586 | (6) | (6) | Class A Common Stock | 58586 | $0 | 0 | I | Held by Trust for the benefit of Reporting Person |
Class B Common Stock | (6) | | | | | | | (6) | (6) | Class A Common Stock | 2800 | | 2800 | I | Individual Retirement Account for the benefit of the Reporting Person's spouse (4) |
Explanation of Responses: |
(1) | Class A shares were exchanged for Class B shares pursuant to the terms of the Stockholders' Agreement dated September 28, 2012, as amended. |
(2) | Reporting Person disclaims beneficial ownership of all such shares. |
(3) | Reporting Person disclaims beneficial ownership of all such shares. |
(4) | Reporting Person disclaims beneficial ownership of all such shares. |
(5) | Class B shares were exchanged for Class A shares pursuant to the terms of the Stockholders' Agreement dated September 28, 2012, as amended. |
(6) | N/A |
(7) | N/A |
(8) | N/A |
(9) | N/A |
(10) | N/A |
(11) | N/A |
(12) | N/A |
(13) | Reporting Person disclaims beneficial ownership of all such shares. |
(14) | N/A |
(15) | N/A |
(16) | N/A |
(17) | 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 |
BUTLER HELEN RANKIN 5875 LANDERBROOK DRIVE, SUITE 300 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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