SEC Form 4/A · accession 0001127602-16-041120

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

Roger F Rankin

Other

Period of report

Jan 22, 2016

Accepted (ET)

Feb 16, 2016 · 10:31 am 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	Dec 29, 2015	G	291	$0.00	A	17,543	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F1	Dec 29, 2015	G	291	$0.00	A	19,431	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock	Dec 29, 2015	G	582	$0.00	D	33,287	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	17,688	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F1	Dec 29, 2015	G	145	$0.00	A	19,576	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock	Jan 22, 2016	J	19,231	$0.00	D	65,824	I	proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	Jan 22, 2016	J	6	$0.00	D	19	I	proportionate general partnership interest in shares of Rankin Associates IV,
Class A Common Stock^F1	holding	—	—		—	54,147	I	spouses proportionate LP interest in shares held by RA1
Class A Common Stock^F1	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P
Class A Common Stock^F1	holding	—	—		—	3,123	I	spouse serves as Trustee of a Trust for the benefit of Alison Rankin
Class A Common Stock^F3	holding	—	—		—	3,688	I	Serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
Class A Common Stock^F3	holding	—	—		—	3,688	I	Serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
Class A Common Stock	holding	—	—		—	765	I	Reporting person serves as co-trustee of trust fbo Elisabeth M. Rankin
Class A Common Stock^F1	holding	—	—		—	1,851	I	Spouse is Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock	holding	—	—		—	200	I	Reporting Person Serves as Custodian of UGMA for the benefit of Elisabeth M. Rankin
Class A Common Stock	holding	—	—		—	965	I	Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock^F1	holding	—	—		—	3,738	I	Spouse is Co-Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock^F1	holding	—	—		—	0	I	Reporting Person Serves as Custodian of UGMA for the benefit of A. Farnham Rankin
Class A Common Stock	holding	—	—		—	3,448	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class A Common Stock	holding	—	—		—	1,975	I	proportionate interest in shares held by Rankin Management, Inc. ("RMI).
Class A Common Stock	holding	—	—		—	192,662	I	Reporting Person serves as Trustee of a Trust for the benefit of Roger F. 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	—	Dec 29, 2015	G	291	A	—	—	Class A Common Stock	291	17,543	I
Class B Common Stock^F1,F4	—	Dec 29, 2015	G	291	A	—	—	Class A Common Stock	291	19,431	I
Class B Common Stock^F4	—	Dec 29, 2015	G	582	D	—	—	Class A Common Stock	582	33,287	I
Class B Common Stock^F1,F4	—	Dec 29, 2015	G	145	A	—	—	Class A Common Stock	145	17,688	I
Class B Common Stock^F1,F4	—	Dec 29, 2015	G	145	A	—	—	Class A Common Stock	145	19,576	I
Class B Common Stock^F4	—	Jan 22, 2016	J	19,231	A	—	—	Class A Common Stock	19,231	104,286	I
Class B Common Stock^F4	—	Jan 22, 2016	J	6	A	—	—	Class A Common Stock	6	31	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	96,861	96,861	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	3,123	3,123	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^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	1,851	1,851	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	3,738	3,738	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	6,168	6,168	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	193,760	193,760	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
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