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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
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*
BUTLER JOHN C JR

(Last) (First) (Middle)
5875 LANDERBROOK DRIVE

(Street)
MAYFIELD HEIGHTS OH 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)
02/12/2021
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)
Code V Amount (A) or (D) Price
Class A Common Stock 02/12/2021 P(1) 104,486 A $59.04 191,748 I Spouse's proportionate partnership interest shares held by AMR Associates LP(2)
Class A Common Stock 1,743 I child's proportionate partnership interest shares held by AMR Associates LP(2)
Class A Common Stock 4,825 I Spouse is Trustee of JCB 2020 GST trust fbo Clara Butler(3)
Class A Common Stock 634 I Child's proportionate interest in shares held by Rankin Associates VI(2)
Class A Common Stock 9,052 I Child's trust?s proportionate interests in shares held by Rankin Associates II.(2)
Class A Common Stock 461 I child's proportionate interests held in shares in Rankin Associates V(2)
Class A Common Stock 4,513 I Reporting Person is trustee of Trust fbo child.(2)
Class A Common Stock 1,743 I child's proportionate partnership interest shares held by AMR Associates LP(2)
Class A Common Stock 4,825 I Spouse is Trustee of JCB 2020 GST trust fbo Griffin Butler(4)
Class A Common Stock 9,208 I Child's trust?s proportionate interests in shares held by Rankin Associates II.(2)
Class A Common Stock 461 I child's proportionate interests held in shares in Rankin Associates V(2)
Class A Common Stock 634 I Child's proportionate interest in shares held by Rankin Associates VI(2)
Class A Common Stock 4,357 I Reporting Person is trustee of Trust fbo child.(2)
Class A Common Stock 8,228 I Spouse is Trustee of BTR 2020 GST Trust fbo Helen Butler(2)
Class A Common Stock 18,761 I spouse's proportionate limited partnership interests in shares held by Rankin Associates I, L.P(2)
Class A Common Stock 32,912 I Spouse's proportionate limited partnership interest in shares held by RAIV Class A(2)
Class A Common Stock 146 I Spouse's proportionate interest in shares held by Rankin Associates VI(2)
Class A Common Stock 120,728 I Held by Trust for the benefit of Reporting Person's Spouse(2)
Class A Common Stock 2,800 I Held in an Individual Retirement Account for the benefit of the Reporting Person
Class A Common Stock 31,851 I Held in trust fbo Reporting Person.
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 (5) 02/12/2021 P(1) 963 (5) (5) Class A Common Stock 963 $59.04 102,599 I Spouse's proportionate partnership interest shares held by AMR Associates LP(2)
Class B Common Stock (5) (5) (5) Class A Common Stock 2,033 2,033 I Child's proportionate partnership interest shares held by AMR Associates LP(2)
Class B Common Stock (6) (7) (8) Class A Common Stock 4,054 4,054 I Spouse is Trustee of JCB 2020 GST trust fbo Clara Butler(9)
Class B Common Stock (5) (5) (5) Class A Common Stock 9,052 9,052 I Child's trust?s proportionate interests in shares held by Rankin Associates II.(2)
Class B Common Stock (5) (5) (5) Class A Common Stock 3,683 3,683 I Reporting Person is trustee of Trust fbo child.(2)
Class B Common Stock (5) (5) (5) Class A Common Stock 2,033 2,033 I Child's proportionate partnership interest shares held by AMR Associates LP(2)
Class B Common Stock (10) (11) (12) Class A Common Stock 4,055 4,055 I Spouse is Trustee of JCB 2020 GST trust fbo Griffin Butler(13)
Class B Common Stock (5) (5) (5) Class A Common Stock 9,208 9,208 I Child's trust?s proportionate interests in shares held by Rankin Associates II.(2)
Class B Common Stock (5) (5) (5) Class A Common Stock 3,527 3,527 I Reporting Person is trustee of Trust fbo child.(2)
Class B Common Stock (14) (15) (16) Class A Common Stock 11,932 11,932 I Spouse is Trustee of BTR 2020 GST trust fbo Helen Butler(2)
Class B Common Stock (5) (5) (5) Class A Common Stock 33,560 33,560 I spouse's proportionate limited partnership interests in shares held by Rankin Associates I, L.P(2)
Class B Common Stock (5) (5) (5) Class A Common Stock 52,144 52,144 I spouse's proportionate limited partnership interest in shared held by RAIV Class B(2)
Class B Common Stock (5) (5) (5) Class A Common Stock 58,586 58,586 I Held by Trust for the benefit of Reporting Person's Spouse(2)
Class B Common Stock (5) (5) (5) Class A Common Stock 2,800 2,800 I Held in an Individual Retirement Account for the benefit of the Reporting Person
Class B Common Stock (5) (5) (5) Class A Common Stock 17,262 17,262 I Held in trust fbo Reporting Person.
Explanation of Responses:
1. The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a promissory note in the principal amount of $5,891,329.93 plus interest which will accrue at a rate of 0.56% per annum, the principal amount of which indebtedness will be due and owing on February 11, 2030 and the accrued interest will be due and owing annually during the term. This transaction was executed as part of multi-generational estate planning by and among members of the Rankin family.
2. Reporting Person disclaims beneficial ownership of all such shares.
3. Reporting Person disclaims beneficial ownership of all such shares.
4. Reporting Person disclaims beneficial ownership of all such shares.
5. N/A
6. N/A
7. N/A
8. N/A
9. Reporting Person disclaims beneficial ownership of all such shares.
10. N/A
11. N/A
12. N/A
13. Reporting Person disclaims beneficial ownership of all such shares.
14. N/A
15. N/A
16. N/A
/s/ Suzanne S. Taylor, attorney-in-fact 02/17/2021
** 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.