Annual Statement of Changes in Beneficial Ownership (5)
February 10 2023 - 3:18PM
Edgar (US Regulatory)
FORM 5
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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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OMB Number:
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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BUTLER JOHN C JR | 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) 12/31/2022 |
(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 | 12/7/2022 | | G | 2144 | D | $0 | 50949 | I | Held in trust fbo Reporting Person. |
Class A Common Stock | 12/7/2022 | | G | 1072 | A | $0 | 10710 | I | Reporting Person is trustee of Trust fbo child. (1) |
Class A Common Stock | 12/7/2022 | | G | 1072 | A | $0 | 10398 | I | Reporting Person is trustee of Trust fbo child. (1) |
Class A Common Stock | | | | | | | 1216 | I | child's proportionate partnership interest shares held by AMR Associates LP (1) |
Class A Common Stock | | | | | | | 1216 | I | child's proportionate partnership interest shares held by AMR Associates LP (1) |
Class A Common Stock | | | | | | | 165124 | I | Spouse's proportionate partnership interest shares held by AMR Associates LP (1) |
Class A Common Stock | | | | | | | 182874 | I | Held by Trust for the benefit of Reporting Person's Spouse (1) |
Class A Common Stock | | | | | | | 2800 | I | Held in an Individual Retirement Account for the benefit of the Reporting Person |
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 | | | | | | | (2) | (2) | Class A Common Stock | 2560 | | 2560 | I | Child's proportionate partnership interest shares held by AMR Associates LP (1) |
Class B Common Stock | | | | | | | (4) | (5) | Class A Common Stock | 8879 | | 8879 | I | Spouse is Trustee of JCB 2020 GST trust fbo Clara Butler (6) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 18104 | | 18104 | I | Child's trust?s proportionate interests in shares held by Rankin Associates II. (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 461 | | 461 | I | Represents percentage of ownership interest of Rankin Associates V partnership held in trust (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 634 | | 634 | I | Child's proportionate interest in shares held by Rankin Associates VI (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 2560 | | 2560 | I | Child's proportionate partnership interest shares held by AMR Associates LP (1) |
Class B Common Stock | | | | | | | (8) | (9) | Class A Common Stock | 8880 | | 8880 | I | Spouse is Trustee of JCB 2020 GST trust fbo Griffin Butler (10) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 18416 | | 18416 | I | Child's trust?s proportionate interests in shares held by Rankin Associates II. (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 461 | | 461 | I | child's proportionate interests held in shares in Rankin Associates V (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 634 | | 634 | I | Child's proportionate interest in shares held by Rankin Associates VI (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 129223 | | 129223 | I | Spouse's proportionate partnership interest shares held by AMR Associates LP (1) |
Class B Common Stock | | | | | | | (12) | (13) | Class A Common Stock | 20160 | | 20160 | I | Spouse is Trustee of BTR 2020 GST trust fbo Helen Butler (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 52321 | | 52321 | I | spouse's proportionate limited partnership interests in shares held by Rankin Associates I, L.P (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 85056 | | 85056 | I | spouse's proportionate limited partnership interest in shared held by RAIV Class B (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 146 | | 146 | I | Spouse's proportionate interest in shares held by Rankin Associates VI (1) |
Class B Common Stock | | | | | | | (2) | (2) | Class A Common Stock | 2800 | | 2800 | I | Held in an Individual Retirement Account for the benefit of the Reporting Person |
Explanation of Responses: |
(1) | Reporting Person disclaims beneficial ownership of all such shares. |
(2) | N/A |
(3) | N/A |
(4) | N/A |
(5) | N/A |
(6) | Reporting Person disclaims beneficial ownership of all such shares. |
(7) | N/A |
(8) | N/A |
(9) | N/A |
(10) | Reporting Person disclaims beneficial ownership of all such shares. |
(11) | N/A |
(12) | N/A |
(13) | N/A |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BUTLER JOHN C JR 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 | | 2/7/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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