SEC Form 4 · accession 0001127602-16-037878

HYSTER-YALE, INC. · HY

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

Reporting owner

Alfred M Et Al Rankin

Officer — Chairman · Director

Period of report

Jan 22, 2016

Accepted (ET)

Jan 26, 2016 · 4:11 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	2,861	$0.00	D	21,286	I	Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin.
Class A Common Stock	Dec 14, 2015	G	1,840	$0.00	D	239,521	I	Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
Class A Common Stock^F1	Dec 29, 2015	G	1,450	$0.00	D	27,929	I	proportionate LP interest in shares held by RA II LP held in trust for benefit of Bruce Rankin
Class A Common Stock	Jan 22, 2016	J	6	$0.00	D	19	I	proportionate general partnership interest shares held by RAIV
Class A Common Stock	Jan 22, 2016	J	317	$0.00	D	1,087	I	Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock^F1	Jan 22, 2016	J	13,492	$0.00	D	46,182	I	Trustee of a Trust for the benefit of Bruce T Rankin, Trust's proportionate interest of RAIV
Class A Common Stock	holding	—	—		—	0	I	Reporting Person serves as Trustee of the Alfred M. Rankin, Jr. 2011 Grantor Retained Annuity Trust.
Class A Common Stock	holding	—	—		—	0	I	Reporting Person serves as Trustee of the Alfred M. Rankin, Jr. 2012 Grantor Retained Annuity Trust
Class A Common Stock	holding	—	—		—	14,752	I	Held in an Individual Retirement Account for the benefit of the Reporting Person.
Class A Common Stock	holding	—	—		—	10,271	I	proportionate LP interest in shares held by RA I in qualified annuity interest trust-benefit of AMR
Class A Common Stock	holding	—	—		—	753	I	Represents the proportionate limited partnership interest in shares held by Rankin Associates II, LP
Class A Common Stock	holding	—	—		—	1,975	I	proportionate LP interest in shares of RA II LP held by Rankin Management Inc as general partner
Class A Common Stock^F1	holding	—	—		—	0	I	Reporting Person serves as Trustee of the Clara T. Rankin Remainder Unitrust#2 u/a/d 1/5/77
Class A Common Stock^F1	holding	—	—		—	44,296	I	proportionate LP interest in shares held by RA I LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F1	holding	—	—		—	19	I	Reporting person serves as Trustee of a Trust for the benefit of Bruce T. Rankin
Class A Common Stock	holding	—	—		—	3,688	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Clara R. Williams
Class A Common Stock	holding	—	—		—	3,688	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Helen R. Butler
Class A Common Stock^F4	holding	—	—		—	0	I	Serves as trustee of trust for the benefit of Clara Rankin
Class A Common Stock^F1	holding	—	—		—	13,600	I	Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren
Class A Common Stock^F1	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by RA II LP
Class A Common Stock^F1	holding	—	—		—	21,006	I	spouse serves as Trustee of a Trust for the benefit of Victoire G. Rankin

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,F5	—	Nov 4, 2015	G	2,861	D	—	—	Class A Common Stock	2,861	21,286	I
Class B Common Stock^F1,F5	—	Dec 29, 2015	G	1,450	D	—	—	Class A Common Stock	1,450	27,929	I
Class B Common Stock^F5	—	Jan 22, 2016	J	6	A	—	—	Class A Common Stock	6	31	I
Class B Common Stock^F5	—	Jan 22, 2016	J	317	A	—	—	Class A Common Stock	317	1,721	I
Class B Common Stock^F5	—	Jan 22, 2016	J	13,492	A	—	—	Class A Common Stock	13,492	73,166	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	14,160	14,160	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	232,993	232,993	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	18,373	18,373	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	753	753	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F1,F5	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F1,F5	—	holding	—	—	—	—	—	Class A Common Stock	79,240	79,240	I
Class B Common Stock^F1,F5	—	holding	—	—	—	—	—	Class A Common Stock	747	747	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F1,F5	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F1,F5	—	holding	—	—	—	—	—	Class A Common Stock	13,600	13,600	I
Class B Common Stock^F1,F5	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F1,F5	—	holding	—	—	—	—	—	Class A Common Stock	21,006	21,006	I

Explanation of responses

F1Reporting Person disclaims beneficial ownership of all such shares.
F2Reporting Person 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
F3Trust fbo Reporting Person's Brother 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
F4Reporting person serves as Trust for Clara L.T. Rankin Trust
F5N/A