Filing Details

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Schedule 13D/A

Under the Securities Exchange Act of 1934

(Amendment No. 1)

 

 

Hyster-Yale Materials Handling, Inc.

(Name of Issuer)

Class A Common Stock, par value $0.01 per share

(Title of Class of Securities)

499172105

(CUSIP Number)

Britton T. Taplin

1550 17^th Street, Suite 500

Denver, Colorado 80202

(303) 892-9400

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

February 2023

(Date of Event Which Requires Filing of This Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ☐

The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

1		NAME OF REPORTING PERSONS   I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)     Britton T. Taplin
2		CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*   (a)  ☐        (b)  ☒
3		SEC USE ONLY
4		SOURCE OF FUNDS*     OO See Item 3
5		CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)     ☐
6		CITIZENSHIP OR PLACE OF ORGANIZATION     USA

NUMBER OF SHARES BENEFICIALLY   OWNED BY EACH REPORTING PERSON WITH				7		SOLE VOTING POWER     390,131
				8		SHARED VOTING POWER     577,702
				9		SOLE DISPOSITIVE POWER     390,131
				10		SHARED DISPOSITIVE POWER     577,702

11		AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON     967,833
12		CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
13		PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)     7.36%
14		TYPE OF REPORTING PERSON*     IN

 

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1		NAME OF REPORTING PERSONS   I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)     Frank F. Taplin
2		CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*   (a)  ☐        (b)  ☒
3		SEC USE ONLY
4		SOURCE OF FUNDS*     OO See Item 3
5		CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)     ☐
6		CITIZENSHIP OR PLACE OF ORGANIZATION     USA

NUMBER OF SHARES BENEFICIALLY   OWNED BY EACH REPORTING PERSON WITH				7		SOLE VOTING POWER     383,872
				8		SHARED VOTING POWER     566,192
				9		SOLE DISPOSITIVE POWER     383,872
				10		SHARED DISPOSITIVE POWER     566,192

11		AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON     950,064
12		CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
13		PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)     7.22%
14		TYPE OF REPORTING PERSON*     IN

 

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Part II to Schedule 13D

This Amendment No 1 to Schedule 13D (this Amendment No. 1) is hereby filed to update and supplement certain information with respect to beneficial ownership of shares of Class A Common Stock, par value $0.01 per share (Class A Common), of Hyster-Yale Materials Handling, Inc. (the Issuer) held by Abigail LLC, a Colorado limited liability company (Abigail), that appeared in the Schedule 13D filed by the Reporting Persons on February 14, 2022 (the Initial Filing). This Amendment No. 1 (a) updates certain information with respect to certain Reporting Persons under the Initial Filing and (b) reflects the acquisition and/or disposition of shares of Class A Common by certain Reporting Persons. Capitalized terms used herein but not defined herein have the meanings assigned to them in the Initial Filing.

Item 5. Interest in Securities of the Issuer.

The statements under the heading Britton T. Taplin, which appear in the Initial Filing, are hereby deleted and replaced in their entirety by the following:

Britton T. Taplin. Mr. Britton Taplin has the sole power to vote and dispose of 390,131 shares of Class A Common. Mr. Britton Taplin is deemed to share with his spouse (DiAhn E. Taplin) the power to vote and dispose of 11,510 shares of Class A Common, is deemed to share with the Taplin Family the power to vote and dispose of 326,532 shares of Class A Common held in a trust for Abigail and is deemed to share with the Taplin Family the power to vote and dispose of 239,660 shares of Class A Common held in a trust for Corky, LLC, a Colorado limited liability company. Collectively, the 967,833 shares of Class A Common beneficially owned by Mr. Britton Taplin constitute approximately 7.36% of the Class A Common outstanding as of December 31, 2022.

The statements under the heading Frank F. Taplin, which appear in the Initial Filing, are hereby deleted and replaced in their entirety by the following:

Frank F. Taplin. Mr. Frank Taplin has the sole power to vote and dispose of 383,872 shares of Class A Common. Mr. Frank Taplin is deemed to share with the Taplin Family the power to vote and dispose of 326,532 shares of Class A Common held in a trust for Abigail and is deemed to share with the Taplin Family the power to vote and dispose of 239,660 shares of Class A Common held in a trust for Corky, LLC, a Colorado limited liability company. Collectively, the 950,064 shares of Class A Common beneficially owned by Mr. Frank Taplin constitute approximately 7.22% of the Class A Common outstanding as of December 31, 2022.

Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.

The information provided with respect to the Stockholders Agreement is hereby amended by inserting at the end thereof the following:

Stockholders Agreement

Effective December 12, 2022, each of the Issuer and the participating stockholders identified on the signature pages of the Stockholders Agreement, as amended (Participating Stockholders), executed and delivered an Amendment to the Stockholders Agreement amending the Stockholders Agreement to add an additional Participating Stockholder under the Stockholders Agreement. A copy of the Amendment to the Stockholders Agreement is filed as Exhibit 16 hereto and is incorporated herein by reference thereto.

Item 7. Material to be Filed as Exhibits.

Item 7 of the Initial Filing is hereby amended by adding the following:

 

Exhibit 16		Twelfth Amendment to Stockholders Agreement, dated as of December 12, 2022, by and among the Issuer, the new Participating Stockholder and the Participating Stockholders (incorporated by reference to Exhibit 41 filed with Amendment No. 11 to the Statement on Schedule 13D, filed by the Reporting Persons named therein on February 14, 2023, Commission File Number 005-87003).

[Signatures begin on the next page.]

[The remainder of this page was intentionally left blank.]

 

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SIGNATURES

After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct.

Date: February 14, 2023

 

 

*	The power of attorney authorizing the above named individual to act on behalf of each of the foregoing Reporting Persons is included in Exhibit 15 hereto.

 

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