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HYSTER-YALE, INC. — Director's Dealing 2013
Apr 17, 2013
32599_dirs_2013-04-17_79183563-80e5-4ec0-96fd-5a80c0fb2118.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HYSTER-YALE MATERIALS HANDLING, INC. (HY)
CIK: 0001173514
Period of Report: 2013-04-15
Reporting Person: RANKIN ALFRED M ET AL (Director, Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-04-15 | Class A Common Stock | J | 29370 | — | Acquired | 58740 | Indirect |
| 2013-04-15 | Class A Common Stock | J | 4051 | — | Disposed | 10271 | Indirect |
| 2013-04-15 | Class A Common Stock | J | 17472 | — | Disposed | 44296 | Indirect |
| 2013-04-15 | Class A Common Stock | J | 1455 | — | Disposed | 3688 | Indirect |
| 2013-04-15 | Class A Common Stock | J | 1455 | — | Disposed | 3688 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-04-15 | Class B Common Stock | $ | J | 29370 | Disposed | Class A Common Stock (29370) | Indirect | |
| 2013-04-15 | Class B Common Stock | $ | J | 4051 | Acquired | Class A Common Stock (4051) | Indirect | |
| 2013-04-15 | Class B Common Stock | $ | J | 17472 | Acquired | Class A Common Stock (17472) | Indirect | |
| 2013-04-15 | Class B Common Stock | $ | J | 1455 | Acquired | Class A Common Stock (1455) | Indirect | |
| 2013-04-15 | Class B Common Stock | $ | J | 1455 | Acquired | Class A Common Stock (1455) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 0 | Indirect |
| Class A Common Stock | 90000 | Indirect |
| Class A Common Stock | 14752 | Indirect |
| Class A Common Stock | 177544 | Indirect |
| Class A Common Stock | 753 | Indirect |
| Class A Common Stock | 25 | Indirect |
| Class A Common Stock | 1404 | Indirect |
| Class A Common Stock | 1975 | Indirect |
| Class A Common Stock | 27008 | Indirect |
| Class A Common Stock | 29379 | Indirect |
| Class A Common Stock | 59674 | Indirect |
| Class A Common Stock | 740 | Indirect |
| Class A Common Stock | 35 | Indirect |
| Class A Common Stock | 18400 | Indirect |
| Class A Common Stock | 2116 | Indirect |
| Class A Common Stock | 21006 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $ | Class A Common Stock (0) | 0 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (90000) | 90000 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (14160) | 14160 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (168537) | 168537 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (753) | 753 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (25) | 25 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (1404) | 1404 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (1975) | 1975 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (27008) | 27008 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (29379) | 29379 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (59674) | 59674 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (740) | 740 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (35) | 35 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (18400) | 18400 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (2116) | 2116 | Indirect | |
| Class B Common Stock | $ | Class A Common Stock (21006) | 21006 | Indirect |
Footnotes
F1: Reporting Person exchanged Class B shares it owned for Class A shares owned by RAI pursuant to the terms of the Stockholders' Agreement dated September 28, 2012
F2: Reporting Person disclaims beneficial ownership of all such shares.
F3: Reporting Person's proportional interest in Class A shares in RAI were exchanged for Class B shares pursuant to the terms of the Stockholders' Agreement dated September 28, 2012
F4: Reporting Person's Brother's proportional interest in Class A shares in RAI were exchanged for Class B shares pursuant to the terms of the Stockholders' Agreement dated September 28, 2012
F5: Reporting Person's Daughter's GST Trust's proportional interest in Class A shares in RAI were exchanged for Class B shares pursuant to the terms of the Stockholders' Agreement dated September 28, 2012
F6: Reporting person serves as Trust for Clara L.T. Rankin Trust
F7: N/A