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*
(Street)
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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)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/22/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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. 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 | 12/29/2015 | G | V | 145 | A | $0 | 9,565 | I | son's proportionate LP interest in shares held by RA II LP held in a trust -spouse is co trustee(1) | |
Class A Common Stock | 01/22/2016 | J(2) | 6 | D | $0 | 19 | I | spouse's proportionate general partnership interest in shares of RA IV LP held by the Trust(1) | ||
Class A Common Stock | 01/22/2016 | J(3) | 19,231 | D | $0 | 65,824 | I | Spouses proportionate LP interest in shares held in RA4 | ||
Class A Common Stock | 3,688 | I | Spouse serves as trustee for BTR 2012 GST for the benefit of James T. Rankin(4) | |||||||
Class A Common Stock | 3,688 | I | Spouse serves as trustee for BTR 2012 GST for the benefit of Matthew M. Rankin(4) | |||||||
Class A Common Stock | 3,688 | I | Spouse serves as trustee for BTR 2012 GST for the benefit of Thomas Parker Rankin(4) | |||||||
Class A Common Stock | 3,622 | D | ||||||||
Class A Common Stock | 14,343 | I | Reporting Person's LP interest in shares held in RA1 | |||||||
Class A Common Stock | 1,843 | I | Reporting person's proportionate interests in shares held by Rankin Associates II, L.P | |||||||
Class A Common Stock | 8,467 | I | spouse is co-Trustee for the benefit of Reporting Person's son.(1) | |||||||
Class A Common Stock | 7 | I | Held by Spouse | |||||||
Class A Common Stock | 25,324 | I | spouse's proportionate limited partnership interest in shares held by RA I LP(1) | |||||||
Class A Common Stock | 36,839 | I | spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P(1) | |||||||
Class A Common Stock | 146,004 | I | spouse serves as Trustee of a Trust for the benefit of Thomas T. Rankin | |||||||
Class A Common Stock | 1,975 | I | Spouse's proportionate interest in shares held in RMI(1) |
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 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 | (5) | 12/29/2015 | G | V | 145 | (5) | (5) | Class A Common Stock | 145 | $0 | 9,565 | I | son's proportionate LP interest in shares held by RA II LP held in a trust -spouse is co trustee(1) | ||
Class B Common Stock | (5) | 01/22/2016 | J(2) | 6 | (5) | (5) | Class A Common Stock | 6 | $0 | 31 | I | spouse's proportionate limited partnership interest in shares of RA IV LP held by the Trust(1) | |||
Class B Common Stock | (5) | 01/22/2016 | J(3) | 19,231 | (5) | (5) | Class A Common Stock | 19,231 | $0 | 104,286 | I | spouses proortionate LP interest in shares held in RA4(1) | |||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 6,598 | 6,598 | I | Spouse serves as trustee for BTR 2012 GST for the benefit of James T. Rankin(4) | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 6,598 | 6,598 | I | Spouse serves as trustee of BTR 2012 GST for the benefit of Matthew M. Rankin(4) | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 6,598 | 6,598 | I | Spouse serves as trustee for BTR 2012 GST for the benefit of Thomas Parker Rankin(4) | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 3,622 | 3,622 | D | ||||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 25,657 | 25,657 | I | Reporting Person's LP interest in shares held in RA1 | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 1,843 | 1,843 | I | Reporting Person's proportionate interests in shares held by Rankin Associates II, L.P | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 8,509 | 8,509 | I | spouse is Trustee for the benefit of Reporting Person's son.(1) | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 7 | 7 | I | Held by Spouse | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 45,300 | 45,300 | I | spouse's proportionate limited partnership interest in shares held by Rankin Associates I, L.P(1) | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 36,839 | 36,839 | I | spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P(1) | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 145,912 | 145,912 | I | spouse serves as Trustee of a Trust for the benefit of Thomas T. Rankin(1) | |||||||
Class B Common Stock | (5) | (5) | (5) | Class A Common Stock | 1,975 | 1,975 | I | Spouse's proportionate interest in shares held in RMI(1) |
Explanation of Responses: |
1. Reporting Person disclaims beneficial ownership of all such shares. |
2. Reporting Person's Spouse exchanged Class A shares it owned for Class B shares owned by RA4 pursuant to the terms of the Stockholders' Agreement dated September 28, 2012 |
3. Reporting Person's Spouse exchanged Class A shares it owned for Class B shares owned by RA4 pursuant to the terms of the Stockholders' Agreement dated September 28, 2012 |
4. child's proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a trust for the benefit of the child |
5. N/A |
/s/ Suzanne S. Taylor, attorney-in-fact | 01/26/2016 | |
** 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. |