Statement of Changes in Beneficial Ownership (4)
December 17 2021 - 4:18PM
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 CHLOE O |
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) | | 14567 | D | $0 | 0 | I | spouse proportionate limited partnership interest in shares held by RA I LP (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 35857 | D | $0 | 0 | I | proportionate LP interest in shares held by RA1 |
Class A Common Stock | 12/15/2021 | | J(1) | | 1978 | D | $0 | 0 | I | proportionate limited partnership interests in shares held by Rankin Associates II, L.P |
Class A Common Stock | 12/15/2021 | | J(1) | | 32571 | D | $0 | 0 | I | spouse's proportionate interest in shares held by RAII (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 19 | D | $0 | 0 | I | spouses proportionate GP interest in shares of RA IV (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 451 | D | $0 | 0 | I | Spouse's proportionate limited partnership interest in shares held by Rankin Associates IV, L.P (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 65373 | D | $0 | 0 | I | Proportionate limited partnership interest in shares of RA IV |
Class A Common Stock | 12/15/2021 | | J(1) | | 377 | D | $0 | 0 | I | Proportionate interests held in shares in Rankin Associates V |
Class A Common Stock | 12/15/2021 | | J(1) | | 155 | D | $0 | 0 | I | Spouse's Interest in Shares held by Rankin Associates V (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 635 | D | $0 | 0 | I | Proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | 12/15/2021 | | J(1) | | 292 | D | $0 | 0 | I | Spouse's proportionate interest in shares held in Rankin Associates VI (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 8227 | D | $0 | 0 | I | Spouse is Trustee of BTR 2020 GST trust fbo Clay Rankin Jr (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 1975 | D | $0 | 0 | I | spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI) (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 80 | D | $0 | 0 | I | Spouse's interest in shares held by RA5 held by Rankin Management (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 100 | D | $0 | 0 | I | Spouse's interest in shares held by RA6 held by Rankin Management (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 8228 | D | $0 | 0 | I | Spouse is Trustee of BTR 2020 GST trust fbo Julia Kuipers (2) |
Class A Common Stock | 12/15/2021 | | J(3) | | 2783 | A | $0 | 6957 | I | serves as Trustee of a Trust for the benefit of Chloe O. Rankin |
Class A Common Stock | 12/15/2021 | | J(3) | | 123760 | A | $0 | 262289 | I | spouse serves as Trustee of a Trust for the benefit of Claiborne R. Rankin (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 8227 | D | $0 | 0 | I | Spouse is Trustee of BTR 2020 GST trust fbo Chloe Seelbach (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 41932 | D | $0 | 0 | I | Spouse serves as trustee of GSTs for the benefit of Chloe R. Seelbach (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 41932 | D | $0 | 0 | I | Spouse serves as trustee of GSTs for the benefit of Claiborne Rankin Jr. (2) |
Class A Common Stock | 12/15/2021 | | J(1) | | 41932 | D | $0 | 188 | I | Spouse serves as trustee of GSTs for the benefit of Julia Kuipers (2) |
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) | | 14567 | | (4) | (4) | Class A Common Stock | 14567 | $0 | 40624 | I | spouse proportionate limited partnership interest in shares held by RA I LP (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 35857 | | (4) | (4) | Class A Common Stock | 35857 | $0 | 100000 | I | proportionate LP interest in shares held by RA1 |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 1978 | | (4) | (4) | Class A Common Stock | 1978 | $0 | 3956 | I | proportionate limited partnership interests in shares held by Rankin Associates II, L.P |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 32571 | | (4) | (4) | Class A Common Stock | 32571 | $0 | 65142 | I | spouse's proportionate interest in shares held by RAII (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 19 | | (4) | (4) | Class A Common Stock | 19 | $0 | 50 | I | spouses proportionate GP interest in shares of RA IV (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 451 | | (4) | (4) | Class A Common Stock | 451 | $0 | 1165 | I | proportionate limited partnership interest in shares held by Rankin Associates IV, L.P (2) |
Class B Common Stock | (5) | 12/15/2021 | | J (1) | | 65373 | | (6) | (7) | Class A Common Stock | 65373 | $0 | 168945 | I | Spouse's proportionate limited partnership interest held in shares in RA IV (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 377 | | (4) | (4) | Class A Common Stock | 377 | $0 | 377 | I | Proportionate interests held in shares in Rankin Associates V |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 155 | | (4) | (4) | Class A Common Stock | 155 | $0 | 155 | I | Spouse's Interest in Shares held by Rankin Associates V (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 635 | | (4) | (4) | Class A Common Stock | 635 | $0 | 635 | I | Proportionate interest in shares held by Rankin Associates VI |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 292 | | (4) | (4) | Class A Common Stock | 292 | $0 | 292 | I | Spouse's proportionate interest in shares held in Rankin Associates VI (2) |
Class B Common Stock | (8) | 12/15/2021 | | J (1) | | 8227 | | (9) | (10) | Class A Common Stock | 8227 | $0 | 20159 | I | Spouse is Trustee of BTR 2020 GST trust fbo Clay Rankin Jr (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 1975 | | (4) | (4) | Class A Common Stock | 1975 | $0 | 3950 | I | spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI) (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 80 | | (4) | (4) | Class A Common Stock | 80 | $0 | 80 | I | Spouse's interest in shares held by RA5 held by Rankin Management (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 100 | | (4) | (4) | Class A Common Stock | 100 | $0 | 100 | I | Spouse's interest in shares held by RA6 held by Rankin Management (2) |
Class B Common Stock | (11) | 12/15/2021 | | J (1) | | 8228 | | (12) | (13) | Class A Common Stock | 8228 | $0 | 20160 | I | Spouse is Trustee of BTR 2020 GST trust fbo Julia Kuipers (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (3) | | | 2783 | (4) | (4) | Class A Common Stock | 2783 | $0 | 0 | I | reporting person serves as Trustee of a Trust for the benefit of Chloe O. Rankin |
Class B Common Stock | (4) | 12/15/2021 | | J (3) | | | 123760 | (4) | (4) | Class A Common Stock | 123760 | $0 | 0 | I | spouse serves as Trustee of a Trust for the benefit of Claiborne R. Rankin (2) |
Class B Common Stock | (14) | 12/15/2021 | | J (1) | | 8227 | | (15) | (16) | Class A Common Stock | 8227 | $0 | 20159 | I | Spouse is Trustee of BTR 2020 GST trust fbo Chloe Seelbach (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 41932 | | (4) | (4) | Class A Common Stock | 41932 | $0 | 54030 | I | Spouse serves as trustee of GSTs for the benefit of Chloe R. Seelbach (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 41932 | | (4) | (4) | Class A Common Stock | 41932 | $0 | 54030 | I | Spouse serves as trustee of GSTs for the benefit of Claiborne Rankin Jr. (2) |
Class B Common Stock | (4) | 12/15/2021 | | J (1) | | 41932 | | (4) | (4) | Class A Common Stock | 41932 | $0 | 54030 | I | Spouse serves as trustee of GSTs for the benefit of Julia Kuipers (2) |
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) | Class B shares were exchanged for Class A shares pursuant to the terms of the Stockholders' Agreement dated September 28, 2012, as amended. |
(4) | N/A |
(5) | N/A |
(6) | N/A |
(7) | N/A |
(8) | N/A |
(9) | N/A |
(10) | N/A |
(11) | N/A |
(12) | N/A |
(13) | N/A |
(14) | N/A |
(15) | N/A |
(16) | N/A |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RANKIN CHLOE O 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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