Sec Form 4 Filing - BUTLER HELEN RANKIN @ HYSTER-YALE MATERIALS HANDLING, INC. - 2020-12-31

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
BUTLER HELEN RANKIN
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
(Last) (First) (Middle)
5875 LANDERBROOK DRIVE, SUITE 300
3. Date of Earliest Transaction (MM/DD/YY)
12/31/2020
(Street)
MAYFIELD HEIGHTS, OH44124
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 12/31/2020 G V 35,468 D $ 0 14,343 I proportionate limited partnership interest in shares held by Rankin Associates I, L.P.
Class A Common Stock 12/31/2020 G V 10,796 D $ 0 0 I proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock 12/31/2020 G V 8,109 D $ 0 0 I spouse's proportionate limited partnership interests in shares held by Rankin Associates II, LP ( 1 )
Class A Common Stock 12/31/2020 G V 4,825 A $ 0 4,825 I Serves as Trustee of JCB 2020 GST trust fbo Clara Butler ( 2 )
Class A Common Stock 12/31/2020 G V 4,825 A $ 0 4,825 I Serves as Trustee of JCB 2020 GST trust fbo Griffin Butler ( 3 )
Class A Common Stock 12/31/2020 G V 1,134 D $ 0 0 I proportionate limited partnership interests in shares held by Rankin Associates V, L.P.
Class A Common Stock 12/31/2020 G V 906 D $ 0 0 I spouse's proportionate interests held in shares in Rankin Associates V
Class A Common Stock 12/31/2020 G V 535 D $ 0 0 I Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock 12/31/2020 G V 635 D $ 0 0 I Spouse's proportionate interest in Rankin Associates VI ( 1 )
Class A Common Stock 12/31/2020 G V 1,743 D $ 0 87,262 I proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock 12/31/2020 G V 876 A $ 0 876 I Serves as Trustee of BTR 2020 GST trust fbo Helen Butler
Class A Common Stock 01/22/2021 P( 4 ) 4,418 A $ 55.5 18,761 I proportionate limited partnership interest in shares held by Rankin Associates I, L.P.
Class A Common Stock 01/22/2021 P( 5 ) 543 A $ 55.5 32,912 I proportionate limited partnership interests in shares held by Rankin Associates IV, L.P.
Class A Common Stock 01/22/2021 P( 6 ) 146 A $ 55.5 146 I Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock 01/22/2021 P( 7 ) 7,352 A $ 55.5 8,228 I Serves as Trustee of BTR 2020 GST trust fbo Helen Butler
Class A Common Stock 1,743 I Child's proportionate partnership interest shares held by AMR Associates LP ( 1 )
Class A Common Stock 9,052 I child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P ( 1 )
Class A Common Stock 461 I child's proportionate interests held in shares in Rankin Associates V ( 1 )
Class A Common Stock 634 I Child's proportionate interest in shares held by Rankin Associates VI ( 1 )
Class A Common Stock 4,513 I held in Trust for the benefit of Reporting Person's child ( 1 )
Class A Common Stock 1,743 I Child's proportionate partnership interest shares held by AMR Associates LP ( 1 )
Class A Common Stock 9,208 I child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P ( 1 )
Class A Common Stock 461 I child's proportionate interests held in shares in Rankin Associates V ( 1 )
Class A Common Stock 634 I Child's proportionate interest in shares held by Rankin Associates VI ( 1 )
Class A Common Stock 4,357 I held in trust for the benefit of Reporting Person's child ( 1 )
Class A Common Stock 120,728 I held by Trust for the benefit of Reporting Person
Class A Common Stock 2,800 I Individual Retirement Account for the benefit of the Reporting Person's spouse ( 1 )
Class A Common Stock 31,851 I spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust. ( 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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 ( 8 ) 12/31/2020 G V 63,448 ( 8 ) ( 8 ) Class A Common Stock 63,448 $ 0 25,657 I proportionate limited partnership interest in shares held by Rankin Associates I, L.P.
Class B Common Stock ( 8 ) 12/31/2020 G V 10,796 ( 8 ) ( 8 ) Class A Common Stock 10,796 $ 0 0 I proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class B Common Stock ( 8 ) 12/31/2020 G V 8,109 ( 8 ) ( 8 ) Class A Common Stock 8,109 $ 0 0 I spouse's proportionate limited partnership interests in shares held by Rankin Associates II, LP ( 1 )
Class B Common Stock ( 9 ) 12/31/2020 G V 4,054 ( 10 ) ( 11 ) Class A Common Stock 4,054 $ 0 4,054 I Trustee of trust fbo daughter. Reflects proportionate interest held in shares in Rankin Assoc II ( 12 )
Class B Common Stock ( 13 ) 12/31/2020 G V 4,055 ( 14 ) ( 15 ) Class A Common Stock 4,055 $ 0 4,055 I Trustee of trust fbo son. Reflects proportionate interest held in shares in Rankin Assoc II ( 16 )
Class B Common Stock ( 8 ) 12/31/2020 G V 2,032 ( 8 ) ( 8 ) Class A Common Stock 2,032 $ 0 101,636 I proportionate partnership interest shares held by AMR Associates LP
Class B Common Stock ( 17 ) 12/31/2020 G V 1,567 ( 18 ) ( 19 ) Class A Common Stock 1,567 $ 0 1,567 I Serves as Trustee of BTR 2020 GST trust fbo Helen Butler
Class B Common Stock ( 8 ) 01/22/2021 P( 20 ) 7,903 ( 8 ) ( 8 ) Class A Common Stock 7,903 $ 55.5 33,560 I proportionate limited partnership interest in shares held by Rankin Associates I, L.P.
Class B Common Stock ( 8 ) 01/22/2021 P( 21 ) 861 ( 8 ) ( 8 ) Class A Common Stock 861 $ 55.5 52,144 I proportionate limited partnership interests in shares held by Rankin Associates IV, L.P.
Class B Common Stock ( 17 ) 01/22/2021 P( 22 ) 10,365 ( 18 ) ( 19 ) Class A Common Stock 10,365 $ 55.5 11,932 I Serves as Trustee of BTR 2020 GST trust fbo Helen Butler
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 2,033 2,033 I Child's proportionate partnership interest shares held by AMR Associates LP
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 9,052 9,052 I child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P ( 1 )
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 3,683 3,683 I held by Trust for the benefit of Reporting Person's child
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 2,033 2,033 I Child's proportionate partnership interest shares held by AMR Associates LP
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 9,208 9,208 I child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P ( 1 )
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 3,527 3,527 I held by trust for the benefit of Reporting Person's child ( 1 )
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 58,586 58,586 I Held by Trust for the benefit of Reporting Person
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 2,800 2,800 I Individual Retirement Account for the benefit of the Reporting Person's spouse ( 1 )
Class B Common Stock ( 8 ) ( 8 ) ( 8 ) Class A Common Stock 17,262 17,262 I spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust. ( 1 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
BUTLER HELEN RANKIN
5875 LANDERBROOK DRIVE, SUITE 300
MAYFIELD HEIGHTS, OH44124
Member of a Group
Signatures
/s/ Suzanne S. Taylor, attorney-in-fact 01/26/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Reporting Person disclaims beneficial ownership of all such shares.
( 2 )Reporting Person disclaims beneficial ownership of all such shares.
( 3 )Reporting Person disclaims beneficial ownership of all such shares.
( 4 )The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series promissory notes each in the principal amount of $919,615,17 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.
( 5 )The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes each in the principal amount of $104,771.62 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.
( 6 )The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes each in the principal amount of $8,116.29 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.
( 7 )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.
( 8 )N/A
( 9 )N/A
( 10 )N/A
( 11 )N/A
( 12 )Reporting Person disclaims beneficial ownership of all such shares.
( 13 )N/A
( 14 )N/A
( 15 )N/A
( 16 )Reporting Person disclaims beneficial ownership of all such shares.
( 17 )N/A
( 18 )N/A
( 19 )N/A
( 20 )The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series promissory notes each in the principal amount of $919,615,17 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.
( 21 )The shares conveyed in this transaction are part of a group of shares conveyed in exchange for a series of promissory notes each in the principal amount of $104,771.62 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.
( 22 )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.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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