HYSTER-YALE, INC. — Director's Dealing 2021

Jan 26, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: HYSTER-YALE MATERIALS HANDLING, INC. (HY)
CIK: 0001173514
Period of Report: 2020-12-31

Reporting Person: WILLIAMS DAVID B (Member of a Group)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-31	Class A Common Stock	G	35468	—	Disposed	14343	Indirect
2020-12-31	Class A Common Stock	G	10796	—	Disposed	0	Indirect
2020-12-31	Class A Common Stock	G	1135	—	Disposed	0	Indirect
2020-12-31	Class A Common Stock	G	535	—	Disposed	0	Indirect
2020-12-31	Class A Common Stock	G	1743	—	Disposed	87262	Indirect
2020-12-31	Class A Common Stock	G	24837	—	Acquired	24837	Indirect
2020-12-31	Class A Common Stock	G	24839	—	Acquired	24839	Indirect
2020-12-31	Class A Common Stock	G	24839	—	Acquired	24839	Indirect
2020-12-31	Class A Common Stock	G	24838	—	Acquired	24838	Indirect
2020-12-31	Class A Common Stock	G	876	—	Acquired	876	Indirect
2021-01-22	Class A Common Stock	P	4417	$55.50	Acquired	18760	Indirect
2021-01-22	Class A Common Stock	P	544	$55.50	Acquired	32913	Indirect
2021-01-22	Class A Common Stock	P	146	$55.50	Acquired	146	Indirect
2021-01-22	Class A Common Stock	P	7352	$55.50	Acquired	8228	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-31	Class B Common Stock	$	G	63448	Disposed		Class A Common Stock (63448)	Indirect
2020-12-31	Class B Common Stock	$	G	10796	Disposed		Class A Common Stock (10796)	Indirect
2020-12-31	Class B Common Stock	$	G	2032	Disposed		Class A Common Stock (2032)	Indirect
2020-12-31	Class B Common Stock	$	G	38138	Acquired		Class A Common Stock (38138)	Indirect
2020-12-31	Class B Common Stock	$	G	38138	Acquired		Class A Common Stock (38138)	Indirect
2020-12-31	Class B Common Stock	$	G	38138	Acquired		Class A Common Stock (38138)	Indirect
2020-12-31	Class B Common Stock	$	G	38138	Acquired		Class A Common Stock (38138)	Indirect
2020-12-31	Class B Common Stock	$	G	1567	Acquired		Class A Common Stock (1567)	Indirect
2021-01-22	Class B Common Stock	$	P	7904	Acquired		Class A Common Stock (7904)	Indirect
2021-01-22	Class B Common Stock	$	P	860	Acquired		Class A Common Stock (860)	Indirect
2021-01-22	Class B Common Stock	$	P	10365	Acquired		Class A Common Stock (10365)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	120728	Indirect
Class A Common Stock	5894	Direct
Class A Common Stock	7375	Indirect
Class A Common Stock	905	Indirect
Class A Common Stock	635	Indirect
Class A Common Stock	1744	Indirect
Class A Common Stock	10581	Indirect
Class A Common Stock	461	Indirect
Class A Common Stock	634	Indirect
Class A Common Stock	2983	Indirect
Class A Common Stock	1744	Indirect
Class A Common Stock	9206	Indirect
Class A Common Stock	461	Indirect
Class A Common Stock	634	Indirect
Class A Common Stock	4357	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Class B Common Stock	$		Class A Common Stock (58586)	58586	Indirect
Class B Common Stock	$		Class A Common Stock (2332)	2332	Direct
Class B Common Stock	$		Class A Common Stock (7375)	7375	Indirect
Class B Common Stock	$		Class A Common Stock (2033)	2033	Indirect
Class B Common Stock	$		Class A Common Stock (10581)	10581	Indirect
Class B Common Stock	$		Class A Common Stock (2152)	2152	Indirect
Class B Common Stock	$		Class A Common Stock (2033)	2033	Indirect
Class B Common Stock	$		Class A Common Stock (9206)	9206	Indirect
Class B Common Stock	$		Class A Common Stock (3528)	3528	Indirect

Footnotes

F1: Reporting Person disclaims beneficial ownership of all such shares.

F2: Reporting Person disclaims beneficial ownership of all such shares.

F3: 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.

F4: 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.

F5: 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.

F6: 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.

F7: N/A

F8: N/A

F9: N/A

F10: N/A

F11: N/A

F12: N/A

F13: N/A

F14: N/A

F15: N/A

F16: N/A

F17: N/A

F18: N/A

F19: N/A

F20: N/A

F21: N/A

F22: N/A

F23: 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.

F24: 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.

F25: 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.