SEC Form 4 · accession 0001127602-16-040583
HYSTER-YALE, INC. · HY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles A Bittenbender
Officer — VP, GC and Secretary
Period of report
Feb 9, 2016
Accepted (ET)
Feb 11, 2016 · 3:01 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 | May 1, 2015 | J | 12,800 | $0.00 | D | 30,995 | D | |
| Class A Common Stock | May 1, 2015 | J | 12,800 | $0.00 | A | 12,800 | I | Held by GRAT |
| Class A Common Stock | Jun 1, 2015 | J | 7,364 | $0.00 | D | 23,631 | D | |
| Class A Common Stock | Jun 1, 2015 | J | 7,364 | $0.00 | A | 7,364 | I | Held by Trust fbo Reporting Person |
| Class A Common Stock | Feb 9, 2016 | A | 1,419 | $0.00 | A | 8,783 | I | Held by Trust fbo Reporting Person |
| Class A Common StockF4 | holding | — | — | — | 162 | I | By Spouse |
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 StockF4,F5 | — | holding | — | — | — | — | — | Class A Common Stock | 0 | 0 | I |
| Class B Common StockF5 | — | holding | — | — | — | — | — | Class A Common Stock | 0 | 0 | D |
Explanation of responses
- F1Shares transferred to 2015 GRAT
- F2mere change in form of ownership
- F3LTIP Award-Shares of Class A Common Stock awarded to the Reporting Person under the company's Long-Term Incentive Compensation Plan
- F4Reporting Person disclaims beneficial ownership of all such shares.
- F5N/A