SEC Form 4 · accession 0001127602-16-037880

HYSTER-YALE, INC. · HY

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

Reporting owner

Victoire G Rankin

Other

Period of report

Jan 22, 2016

Accepted (ET)

Jan 26, 2016 · 4:12 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	spouse serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin, Sr
Class A Common Stock^F1	Dec 14, 2015	G	1,840	$0.00	D	239,521	I	spouse serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr
Class A Common Stock^F1	Dec 29, 2015	G	1,450	$0.00	D	27,929	I	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust proporationate interest in RAII
Class A Common Stock^F1	Jan 22, 2016	J	6	$0.00	D	19	I	Spouse's proporationate partnership interest in RAIV
Class A Common Stock	Jan 22, 2016	J	317	$0.00	D	1,087	I	Spouses 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	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust's proportionate interest of RA4
Class A Common Stock^F1	holding	—	—		—	0	I	spouse serves as Trustee of the Alfred M. Rankin, Jr. 2011 Grantor Retained Annuity Trust
Class A Common Stock^F1	holding	—	—		—	0	I	spouse serves as Trustee of the Alfred M. Rankin, Jr. 2012 Grantor Retained Annuity Trust
Class A Common Stock^F1	holding	—	—		—	13,600	I	spouse serves as Trustee of Trusts for the benefit of each of grantor's grandchildren
Class A Common Stock^F1	holding	—	—		—	14,752	I	Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse
Class A Common Stock^F1	holding	—	—		—	10,271	I	Spouse's proportionate limited partnership interest in shares held by RA1
Class A Common Stock^F1	holding	—	—		—	753	I	Spouses's proportionate limited parternship interest in shares held by AMR RAII
Class A Common Stock^F1	holding	—	—		—	1,975	I	spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1	holding	—	—		—	0	I	spouse 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	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust's proportionate interest of RA1
Class A Common Stock^F1	holding	—	—		—	19	I	Spouse is a Trustee of a Trust for the benefit of Bruce T. Rankin
Class A Common Stock	holding	—	—		—	3,688	I	Spouse serves as trustee for the BTR 2012 GST for the benefit of Clara Williams
Class A Common Stock	holding	—	—		—	3,688	I	Spouse serves as trustee for BTR 2012 GST for the benefit of Helen Butler
Class A Common Stock	holding	—	—		—	0	I	spouse serves as the Trustee of the Trust which is held for the benefit of Clara LT Rankin
Class A Common Stock	holding	—	—		—	2,116	I	proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock	holding	—	—		—	21,006	I	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,F4	—	Nov 4, 2015	G	2,861	D	—	—	Class A Common Stock	2,861	21,286	I
Class B Common Stock^F1,F4	—	Dec 29, 2015	G	1,450	D	—	—	Class A Common Stock	1,450	27,929	I
Class B Common Stock^F4	—	Jan 22, 2016	J	6	A	—	—	Class A Common Stock	6	31	I
Class B Common Stock^F4	—	Jan 22, 2016	J	317	A	—	—	Class A Common Stock	317	1,721	I
Class B Common Stock^F5,F4	—	Jan 22, 2016	J	13,492	A	—	—	Class A Common Stock	13,492	73,166	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	13,600	13,600	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	14,160	14,160	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	232,993	232,993	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	18,373	18,373	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	753	753	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	79,240	79,240	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	747	747	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	21,006	21,006	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
F3Reporting Person's Brother-in-law 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
F4N/A
F5BTR RA4-Represents the proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person's spouse serves as the Trustee of the Trust which is held for the benefit of Bruce T Rankin. Reporting person disclaims beneficial ownership of all such shares.