Statement of Changes in Beneficial Ownership (4)
July 02 2020 - 2:30PM
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
*
RANKIN CLAIBORNE R |
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)
__X__ 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)
7/1/2020 |
(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 | 7/1/2020 | | A(1) | | 777 | A | $0 | 135944 | I | Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin |
Class A Common Stock | | | | | | | | 35857 | I | Spouse's proportionate interests in shares held by Rankin Associates I. (2) |
Class A Common Stock | | | | | | | | 1978 | I | spouse's proportionate limited partnership interest in shares held by Rankin Associates II LP (2) |
Class A Common Stock | | | | | | | | 377 | I | spouse's proportionate interests held in shares in Rankin Associates V |
Class A Common Stock | | | | | | | | 635 | I | Spouse's proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | | | | | | | | 4174 | I | Held in trust fbo Reporting Person's spouse. (2) |
Class A Common Stock | | | | | | | | 19 | I | Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person as general partner |
Class A Common Stock | | | | | | | | 14567 | I | proportionate limited partnership interest in shares held by Rankin Associates I, L.P |
Class A Common Stock | | | | | | | | 32571 | I | proportionate limited partnership interests in shares held by Rankin Associates II, L.P |
Class A Common Stock | | | | | | | | 65824 | I | proportionate limited partnership interest in shares held by Rankin Associates IV, L.P |
Class A Common Stock | | | | | | | | 155 | I | Interest in Shares held by Rankin Associates V |
Class A Common Stock | | | | | | | | 292 | I | Proportionate interest in shares held by Rankin Associates VI |
Class A Common Stock | | | | | | | | 80 | I | interest in shares held by RAV held by Rankin Management, Inc. ("RMI") |
Class A Common Stock | | | | | | | | 100 | I | interest in shares held by RAVI held by Rankin Management, Inc. ("RMI") |
Class A Common Stock | | | | | | | | 1975 | I | proportionate interest in shares held by Rankin Management, Inc. ("RMI") |
Class A Common Stock | | | | | | | | 41932 | I | Serves as Trustee of GSTs for the benefit of Chloe R. Seelbach |
Class A Common Stock | | | | | | | | 41932 | I | Serves as Trustee of GSTs for the benefit of Claiborne Rankin Jr. |
Class A Common Stock | | | | | | | | 42120 | I | Serves as Trustee of the GSTs for the benefit of Julia R. Kuipers |
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 | (3) | | | | | | | (3) | (3) | Class A Common Stock | 64143 | | 64143 | I | spouses proportionate LP interst in shares held in RA1 |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 1978 | | 1978 | I | spouse's proportionate limited partnership interest in shares held by Rankin Associates II LP (2) |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 2783 | | 2783 | I | Trustee of a Trust for the benefit of Chloe O. Rankin. |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 31 | | 31 | I | Proportionate general partnership interest in shares held in RAIV (4) |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 26057 | | 26057 | I | proportionate limited partnership interest in shares held by Rankin Associates I, L.P |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 32571 | | 32571 | I | proportionate limited partnership interests in shares held by Rankin Associates II, L.P |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 104286 | | 104286 | I | proportionate limited partnership interest in shares held by Rankin Associates IV, L.P |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 1975 | | 1975 | I | proportionate interest in shares held by Rankin Management, Inc. ("RMI") |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 123760 | | 123760 | I | Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 12098 | | 12098 | I | Serves as Trustee of GSTs for the benefit of Chloe Seelbach |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 12098 | | 12098 | I | Serves as Trustee of the GSTs for the benefit of Claiborne Rankin Jr. |
Class B Common Stock | (3) | | | | | | | (3) | (3) | Class A Common Stock | 12098 | | 12098 | I | Serves as Trustee of the GSTs for the benefit of Julia R. Kuipers |
Explanation of Responses: |
(1) | Award-Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan. |
(2) | Reporting Person disclaims beneficial ownership of all such shares. |
(3) | N/A |
(4) | proportionate limited partnership interest in shares of Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RANKIN CLAIBORNE R 5875 LANDERBROOK DRIVE MAYFIELD HEIGHTS, OH 44124 | X |
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| Member of a Group |
Signatures
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/s/ Suzanne S. Taylor, attorney-in-fact | | 7/1/2020 |
**Signature of Reporting Person | Date |
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