SEC Form 4 · accession 0001127602-16-048806
HYSTER-YALE, INC. · HY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
DiAhn Taplin
Other
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 4:05 pm EDT
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 | Mar 1, 2016 | J | 3,925 | $0.00 | A | 6,009 | I | Held by Trust fbo Reporting Peron's Spouse |
| Class A Common Stock | Apr 1, 2016 | A | 453 | $0.00 | A | 6,462 | I | Held by Trust fbo Reporting Peron's Spouse |
| Class A Common Stock | holding | — | — | — | 66,939 | I | Spouse's Proportionate interest in shares held by Abigail LLC held in trust fbo reporting person | |
| Class A Common StockF3 | holding | — | — | — | 29,740 | I | Held by Spouse | |
| Class A Common Stock | holding | — | — | — | 5,755 | D |
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 StockF3,F4 | — | holding | — | — | — | — | — | Class A Common Stock | 33,539 | 33,539 | I |
| Class B Common StockF4 | — | holding | — | — | — | — | — | Class A Common Stock | 5,755 | 5,755 | D |
Explanation of responses
- F1Distributed to spouse pursuant to the terms of the 2012 Taplin Annuity Trust #2
- F2Spouse's Award-Shares of Class A Common Stock awarded to the Reporting Person's Spouse as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
- F3Reporting Person disclaims beneficial ownership of all such shares.
- F4N/A