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 |
| |||||||||||||||
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*
(Street)
| 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)
| ||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) 06/20/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
|
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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 06/20/2019 | P | 63(1) | A | $53.88 | 43,808 | I | Spouse serves as Trustee of GSTs for the benefit of A. Farnham Rankin | ||
Class A Common Stock | 06/20/2019 | P | 63(1) | A | $53.88 | 43,808 | I | Spouse serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin | ||
Class A Common Stock | 06/20/2019 | P | 253(1) | A | $53.88 | 13,219 | I | Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin | ||
Class A Common Stock | 06/20/2019 | P | 1(1) | A | $53.88(2) | 666 | I | Spouse's proportionate interests in shares held by Rankin Associates V | ||
Class A Common Stock | 06/20/2019 | P | 25(1) | A | $53.88(2) | 43,833 | I | Spouse serves as Trustee of GSTs for the benefit of A. Farnham Rankin | ||
Class A Common Stock | 06/20/2019 | P | 25(1) | A | $53.88(2) | 43,833 | I | Spouse serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin | ||
Class A Common Stock | 06/20/2019 | P | 1(1) | A | $53.88(2) | 98 | I | spouse's interest in shares of Rankin Associates VI held by Rankin Management, Inc. ("RMI") | ||
Class A Common Stock | 06/20/2019 | P | 35(1) | A | $53.88(2) | 43,868 | I | Spouse serves as Trustee of GSTs for the benefit of A. Farnham Rankin | ||
Class A Common Stock | 54,147 | I | proportionate limited partnership interest in shares held by Rankin Associates I, L.P(3) | |||||||
Class A Common Stock | 29,986 | I | Reporting Person?s proportionate interests in shares held by Rankin Associates II. | |||||||
Class A Common Stock | 620 | I | Proportionate interest in shares held in Rankin Associates VI | |||||||
Class A Common Stock | 200 | I | Reporting person's spouse serves as Trustee for the benefit of Elisabeth Rankin | |||||||
Class A Common Stock | 765 | I | Reporting person serves as co-trustee of trust fbo Elisabeth M. Rankin | |||||||
Class A Common Stock | 20,426 | I | Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.(3) | |||||||
Class A Common Stock | 1,851 | I | Co-Trustee for the benefit of Reporting Person's daughter.(3) | |||||||
Class A Common Stock | 103 | I | Child's proportionate interest in shares held by Rankin Associates V(3) | |||||||
Class A Common Stock | 522 | I | Child's proportionate interest in shares held by Rankin Associates VI(4) | |||||||
Class A Common Stock | 1,209 | I | Spouse serves as Trustee for the benefit of A. Farnham Rankin | |||||||
Class A Common Stock | 18,294 | I | Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.(3) | |||||||
Class A Common Stock | 103 | I | Child's proportionate interest in shares held by Rankin Associates V(3) | |||||||
Class A Common Stock | 522 | 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.(3) | |||||||
Class A Common Stock | 19 | I | Spouse's proportionate general partnership interest shares held by RAIV.(3) | |||||||
Class A Common Stock | 3,448 | I | Spouse's proportionate interests in shares held by Rankin Associates I.(3) | |||||||
Class A Common Stock | 4,283 | I | spouse's proportionate limited partnership interest in shares held by RA II, L.P(3) | |||||||
Class A Common Stock | 65,824 | I | Spouse's proportionate interests in shares held by Rankin Associates IV.(3) | |||||||
Class A Common Stock | 285 | I | Spouse's proportionate interest in shares held by Rankin Associates VI | |||||||
Class A Common Stock | 1,975 | I | spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI").(3) | |||||||
Class A Common Stock | 79 | I | spouse's interest in shares of Rankin Associates V held by Rankin Management, Inc. ("RMI") | |||||||
Class A Common Stock | 192,662 | I | spouse serves as Trustee of a Trust for the benefit of Roger F. Rankin(3) |
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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class B Common Stock | (6) | (6) | (6) | 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 | (6) | (6) | (6) | 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 | (6) | (6) | (6) | 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 | (6) | (6) | (6) | Class A Common Stock | 200 | 200 | I | Reporting person's spouse serves as Trustee for the benefit of Elisabeth Rankin | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 20,426 | 20,426 | I | Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 1,851 | 1,851 | I | Co-Trustee for the benefit of Reporting Person's daughter.(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 444 | 444 | I | Spouse Serves as Trustee for the benefit of A. Farnham Rankin(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 18,294 | 18,294 | I | Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 3,738 | 3,738 | I | Co-Trustee for the benefit of Reporting Person's daughter. | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 6,889 | 6,889 | I | Spouse serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 6,889 | 6,889 | I | Spouse serves as Trustee of GSTs for the benefit of A. Farnham Rankin | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 31 | 31 | I | Reporting Person's spouse's proportionate GP interest in shares of Rankin Associates IV(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 6,168 | 6,168 | I | Spouses proportionate LP interest in shares held by RA1(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 4,283 | 4,283 | I | spouse's proportionate limited partnership interest in shares held by RA II, L.P(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 104,286 | 104,286 | I | Spouse's proportionate interests in shares held by Rankin Associates IV.(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 1,975 | 1,975 | I | spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI").(3) | |||||||
Class B Common Stock | (6) | (6) | (6) | Class A Common Stock | 193,760 | 193,760 | I | spouse serves as Trustee of a Trust for the benefit of Roger F. Rankin(3) |
Explanation of Responses: |
1. Shares purchased pursuant to 10b5-1 plan. |
2. 2019-Jun-20-Weighted Average-Share Price represents average price between $53.48 and $53.99. |
3. Reporting Person disclaims beneficial ownership of all such shares. |
4. held in trust u/a/d 12/30/2015 |
5. held in trust u/a/d 8/15/2012 |
6. N/A |
/s/ Suzanne S. Taylor, attorney-in-fact | 06/20/2019 | |
** 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. |