SEC Form 4/A · accession 0001127602-16-036576

HYSTER-YALE, INC. · HY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Claiborne R Rankin

Director · Other

Period of report

Jan 4, 2016

Accepted (ET)

Jan 8, 2016 · 12:10 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001173514

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock	Dec 29, 2015	G	725	$0.00	D	38,736	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F1	Dec 29, 2015	G	145	$0.00	A	10,286	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F1	Dec 29, 2015	G	145	$0.00	A	10,431	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F1	Dec 29, 2015	G	145	$0.00	A	13,286	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F1	Dec 29, 2015	G	145	$0.00	A	13,431	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock	Jan 4, 2016	A	410	$0.00	A	127,570	I	Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin
Class A Common Stock^F1	holding	—	—		—	35,857	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F1	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock^F1	holding	—	—		—	2,283	I	Held in trust fbo Reporting Person's spouse.
Class A Common Stock^F3	holding	—	—		—	3,688	I	Serves as Trustee of BTR 2012 GST for the benefit of Chloe R. Seelbach
Class A Common Stock^F3	holding	—	—		—	3,688	I	Serves as Trustee of the BTR 2012 GST for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F3	holding	—	—		—	3,688	I	Serves as Trustee of the BTR 2012 GST for the benefit of Julia R. Kuipers
Class A Common Stock	holding	—	—		—	25	I	Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person as general partner
Class A Common Stock	holding	—	—		—	0	D
Class A Common Stock^F1	holding	—	—		—	769	I	Trustee of trust for the benefit of Reporting Person's child
Class A Common Stock	holding	—	—		—	14,567	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class A Common Stock	holding	—	—		—	85,055	I	proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	holding	—	—		—	1,975	I	proportionate interest in shares held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1	holding	—	—		—	10,242	I	Co-Trustee for the benefit of Reporting Person's child

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock^F4	—	Dec 29, 2015	G	725	D	—	—	Class A Common Stock	725	38,736	I
Class B Common Stock^F1,F4	—	Dec 29, 2015	G	145	A	—	—	Class A Common Stock	145	10,286	I
Class B Common Stock^F1,F4	—	Dec 29, 2015	G	145	A	—	—	Class A Common Stock	145	10,431	I
Class B Common Stock^F1,F4	—	Dec 29, 2015	G	145	A	—	—	Class A Common Stock	145	13,286	I
Class B Common Stock^F1,F4	—	Dec 29, 2015	G	145	A	—	—	Class A Common Stock	145	13,431	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	64,143	64,143	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	2,783	2,783	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F5,F4	—	holding	—	—	—	—	—	Class A Common Stock	25	25	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	10,027	10,027	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	26,057	26,057	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	85,055	85,055	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	123,760	123,760	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	10,072	10,072	I

Explanation of responses

F1Reporting Person disclaims beneficial ownership of all such shares.
F2Award-Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
F3child's proportionate limited partnership interest in shares held by Rankin Associates I, L.P., which is held in a trust for the benefit of the child
F4N/A
F5proportionate limited partnership interest in shares of Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.