FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
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. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2015 | ||||||||||||||||||||||||||
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 at end of Issuer's Fiscal Year (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 | 06/16/2015 | G | 143 | D | $0 | 8,324 | I | Co-Trustee for the benefit of Reporting Person's son.(1) | |||||||
Class A Common Stock | 3,688 | I | Serves as Trustee of BTR 2012 GST for the benefit of James Rankin(2) | ||||||||||||
Class A Common Stock | 3,688 | I | Serves as Trustee of BTR 2012 GST for the benefit of Matthew Rankin(2) | ||||||||||||
Class A Common Stock | 3,688 | I | Serves as trustee of BTR 2012 GST for the benefit of Thomas P. Rankin(2) | ||||||||||||
Class A Common Stock | 3,622 | I | Held by Spouse(1) | ||||||||||||
Class A Common Stock | 14,343 | I | Spouses proportionate interest in shares held by RA1(1) | ||||||||||||
Class A Common Stock | 1,843 | I | spouse's proportionate limited partnership interest in shares held by RA II LP(1) | ||||||||||||
Class A Common Stock | 9,565 | I | son's proportionate lp interest in shares held by RA II for benefit of son(1) | ||||||||||||
Class A Common Stock | 7 | D | |||||||||||||
Class A Common Stock | 25 | I | proportionate general partnership interest in shares of Rankin Associates IV, L.P held by the Trust | ||||||||||||
Class A Common Stock | 25,324 | I | proportionate interest in shares held in RA1 | ||||||||||||
Class A Common Stock | 36,839 | I | proportionate limited partnership interests in shares held by Rankin Associates II, L.P | ||||||||||||
Class A Common Stock | 85,055 | I | Proportionate LP interest in shares held in RA4 | ||||||||||||
Class A Common Stock | 1,975 | I | Proportionate interest in shares held in RMI | ||||||||||||
Class A Common Stock | 146,004 | I | Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. Rankin |
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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 6,598 | 6,598 | I | Serves as Trustee of the BTR 2012 GST for the benefit of James Rankin(2) | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 6,598 | 6,598 | I | Serves as Trustee of BTR 2012 GST for the benefit of Matthew Rankin(2) | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 6,598 | 6,598 | I | Serves as trustee of BTR 2012 GST for the benefit of T. Parker Rankin(2) | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 3,622 | 3,622 | I | Held by Spouse(1) | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 25,657 | 25,657 | I | Spouses proportionate interest in shares held by RA1(1) | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 1,843 | 1,843 | I | spouse's proportionate limited partnership interest in shares held by RA II LP(1) | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 9,565 | 9,565 | I | son's proportionate lp interest in shares held by RA II for benefit of son(1) | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 8,509 | 8,509 | I | Co-Trustee for the benefit of Reporting Person's son.(1) | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 7 | 7 | D | |||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 25 | 25 | I | proportionate general partnership interest in shares of Rankin Associates IV, L.P held by the Trust | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 45,300 | 45,300 | I | Proportionate interest in shares held in RA1 | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 36,839 | 36,839 | 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 | 85,055 | 85,055 | I | Proportionate LP interest in shares held in RA4 | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 1,975 | 1,975 | I | Proportionate interest in shares of RMI | ||||||
Class B Common Stock | (3) | (3) | (3) | Class A Common Stock | 145,912 | 145,912 | I | Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. Rankin |
Explanation of Responses: |
1. Reporting Person disclaims beneficial ownership of all such shares. |
2. 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 |
3. N/A |
/s/ Suzanne S. Taylor, attorney-in-fact | 02/16/2016 | |
** 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. |