Hyster-Yale Materials Handling Form 4 / ALISON A RANKIN ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

RANKIN ALISON A

(Last)

(First)

(Middle)

5875 LANDERBROOK DRIVE

(Street)

MAYFIELD HEIGHTS

44124

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
HYSTER-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

3. Date of Earliest Transaction (Month/Day/Year)
12/31/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	12/31/2020		G	V	877	A	$0	877	I	Spouse is Trustee of BTR 2020 GST trust fbo Elisabeth Rankin⁽¹⁾
Class A Common Stock	01/22/2021		P⁽²⁾		7,352	A	$55.5	8,229	I	Spouse is Trustee of BTR 2020 GST trust fbo Anne Rankin⁽¹⁾
Class A Common Stock	01/22/2021		P⁽³⁾		7,352	A	$55.5	8,229	I	Spouse is Trustee of BTR 2020 GST trust fbo Elisabeth Rankin⁽¹⁾
Class A Common Stock								54,147	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class A Common Stock								29,986	I	Reporting Person?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock								377	I	proportionate interests held in shares in Rankin Associates V
Class A Common Stock								635	I	Proportionate interest in shares held in Rankin Associates VI
Class A Common Stock								16,828	I	Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin
Class A Common Stock								200	I	Reporting person's spouse serves as Trustee for the benefit of Elisabeth Rankin⁽¹⁾
Class A Common Stock								765	I	Reporting person serves as co-trustee of trust fbo Elisabeth M. Rankin⁽¹⁾
Class A Common Stock								21,380	I	Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.⁽¹⁾
Class A Common Stock								1,851	I	Co-Trustee for the benefit of Reporting Person's daughter.⁽¹⁾
Class A Common Stock								1,134	I	Child's proportionate interest in shares held by Rankin Associates V⁽¹⁾
Class A Common Stock								535	I	Child's proportionate interest in shares held by Rankin Associates VI⁽⁴⁾
Class A Common Stock								965	I	Spouse serves as Trustee for the benefit of A. Farnham Rankin⁽¹⁾
Class A Common Stock								19,492	I	Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.⁽¹⁾
Class A Common Stock								1,134	I	Child's proportionate interest in shares held by Rankin Associates V⁽¹⁾
Class A Common Stock								535	I	Child's proportionate interest in shares held by Rankin Associates VI⁽⁵⁾
Class A Common Stock								3,738	I	Co-Trustee for the benefit of Reporting Person's daughter.⁽¹⁾
Class A Common Stock								59,607	I	Spouse serves as Trustee of GSTs for the benefit of A. Farnham Rankin⁽¹⁾
Class A Common Stock								59,607	I	Spouse serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin⁽¹⁾
Class A Common Stock								19	I	Spouse's proportionate general partnership interest shares held by RAIV.⁽¹⁾
Class A Common Stock								3,448	I	Spouse's proportionate interests in shares held by Rankin Associates I.⁽¹⁾
Class A Common Stock								3,011	I	spouse's proportionate limited partnership interest in shares held by RA II, L.P⁽¹⁾
Class A Common Stock								1,057	I	Spouse's proportionate interests in shares held by Rankin Associates V⁽¹⁾
Class A Common Stock								292	I	Spouse's proportionate interest in shares held by Rankin Associates VI⁽¹⁾
Class A Common Stock								1,975	I	spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI").⁽¹⁾
Class A Common Stock								80	I	spouse's interest in shares of Rankin Associates V held by Rankin Management, Inc. ("RMI")⁽¹⁾
Class A Common Stock								100	I	spouse's interest in shares of Rankin Associates VI held by Rankin Management, Inc. ("RMI")⁽¹⁾
Class A Common Stock								192,662	I	spouse serves as Trustee of a Trust for the benefit of Roger F. Rankin⁽¹⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Class B Common Stock	⁽⁶⁾	12/31/2020		G	V	1,567		⁽⁷⁾	⁽⁸⁾	Class A Common Stock	1,567	$0	1,567	I	Spouse is Trustee of BTR 2020 GST trust fbo Elisabeth Rankin⁽¹⁾
Class B Common Stock	⁽⁹⁾	01/22/2021		P⁽¹⁰⁾		10,366		⁽¹¹⁾	⁽¹²⁾	Class A Common Stock	10,366	$55.5	11,933	I	Spouse is Trustee of BTR 2020 GST trust fbo Anne Rankin⁽¹⁾
Class B Common Stock	⁽⁶⁾	01/22/2021		P⁽¹³⁾		10,366		⁽⁷⁾	⁽⁸⁾	Class A Common Stock	10,366	$55.5	11,933	I	Spouse is Trustee of BTR 2020 GST trust fbo Elisabeth Rankin⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	96,861		96,861	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	29,986		29,986	I	Reporting Person?s proportionate interests in shares held by Rankin Associates II.
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	3,123		3,123	I	Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	200		200	I	Reporting person's spouse serves as Trustee for the benefit of Elisabeth Rankin⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	21,380		21,380	I	Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	1,851		1,851	I	Co-Trustee for the benefit of Reporting Person's daughter.⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	200		200	I	Spouse Serves as Trustee for the benefit of A. Farnham Rankin⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	19,492		19,492	I	Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	3,738		3,738	I	Co-Trustee for the benefit of Reporting Person's daughter.⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	12,098		12,098	I	Spouse serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	12,098		12,098	I	Spouse serves as Trustee of GSTs for the benefit of A. Farnham Rankin⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	31		31	I	Reporting Person's spouse's proportionate GP interest in shares of Rankin Associates IV⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	6,168		6,168	I	Spouses proportionate LP interest in shares held by RA1⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	3,011		3,011	I	spouse's proportionate limited partnership interest in shares held by RA II, L.P⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	1,975		1,975	I	spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI").⁽¹⁾
Class B Common Stock	⁽¹⁴⁾							⁽¹⁴⁾	⁽¹⁴⁾	Class A Common Stock	193,760		193,760	I	spouse serves as Trustee of a Trust for the benefit of Roger F. Rankin⁽¹⁾

Explanation of Responses:

1. Reporting Person disclaims beneficial ownership of all such shares.

2. The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes in the principal amounts of $99,761.39, $327,007.89, $890, $720.11 and $3,521.90 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among by members of the Rankin family.

3. The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes in the principal amounts of $99,761.39, $327,007.89, $890, $720.11 and $3,521.90 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among by members of the Rankin family.

4. held in trust u/a/d 12/30/2015

5. held in trust u/a/d 8/15/2012

6. N/A

7. N/A

8. N/A

9. N/A

10. The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes in the principal amounts of $99,761.39, $327,007.89, $890, $720.11 and $3,521.90 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among by members of the Rankin family.

11. N/A

12. N/A

13. The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes in the principal amounts of $99,761.39, $327,007.89, $890, $720.11 and $3,521.90 plus interest which will accrue at a rate of 0.52% per annum, the principal amount of which indebtedness will be due and owing on January 21, 2030 and the accrued interest will be due and owing annually during the term. These transactions were executed as part of multi-generational estate planning by and among by members of the Rankin family.

14. N/A

	/s/ Suzanne S. Taylor, attorney-in-fact	01/26/2021
	** 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 Number.

Hyster-Yale Materials Handling (HY) Form 4HYSTER-YALE MATERIALS HANDLING / ALISON A RANKIN ownership change