SEC Form 4 · accession 0001127602-16-037871

HYSTER-YALE, INC. · HY

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

Reporting owner

David B Williams

Other

Period of report

Jan 22, 2016

Accepted (ET)

Jan 26, 2016 · 4:07 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^F1	Nov 4, 2015	G	1,431	$0.00	A	2,753	I	Reporting Person is Trustee of a Trust for the benefit of Reporting Person's minor child
Class A Common Stock^F1	Nov 4, 2015	G	1,430	$0.00	A	4,127	I	Reporting Person is Trustee of a Trust for the benefit of Reporting Person's minor child
Class A Common Stock^F1	Dec 14, 2015	G	230	$0.00	A	82,086	I	Held by trust for the benefit of Reporting Person's Spouse
Class A Common Stock^F1	Dec 14, 2015	G	230	$0.00	A	2,983	I	Reporting Person is Trustee of a Trust for the benefit of Reporting Person's minor child
Class A Common Stock	Dec 14, 2015	G	230	$0.00	A	3,162	D
Class A Common Stock^F1	Dec 14, 2015	G	230	$0.00	A	4,357	I	Reporting Person is Trustee of a Trust for the benefit of Reporting Person's minor child
Class A Common Stock^F1	Dec 29, 2015	G	145	$0.00	A	12,402	I	Spouse's proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F1	Jan 22, 2016	J	9,457	$0.00	D	32,369	I	Spouse's proportionate interests in shares held by Rankin Associates IV.
Class A Common Stock^F1	holding	—	—		—	49,811	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock	holding	—	—		—	6,537	I	proportionate LP interest in shares held by RA II, L.P
Class A Common Stock^F1	holding	—	—		—	9,179	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F1	holding	—	—		—	7,804	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.

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^F1,F3	—	Nov 4, 2015	G	1,430	A	—	—	Class A Common Stock	1,430	2,152	I
Class B Common Stock^F1,F3	—	Nov 4, 2015	G	1,431	A	—	—	Class A Common Stock	1,431	3,528	I
Class B Common Stock^F1,F3	—	Dec 29, 2015	G	145	A	—	—	Class A Common Stock	145	12,402	I
Class B Common Stock^F1,F3	—	Jan 22, 2016	J	9,457	A	—	—	Class A Common Stock	9,457	51,283	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	2,332	2,332	D
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	6,537	6,537	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	9,179	9,179	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	7,804	7,804	I

Explanation of responses

F1Reporting Person disclaims beneficial ownership of all such shares.
F2Reporting Person's Spouse exchanged Class A shares it owned for Class B shares owned by RA4 pursuant to the terms of the Stockholders' Agreement dated September 28, 2012
F3N/A