SEC Form 4 · accession 0001127602-16-062963

HYSTER-YALE, INC. · HY

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

Reporting owner

Claiborne R Rankin

Director · Other

Period of report

Sep 19, 2016

Accepted (ET)

Sep 21, 2016 · 4:16 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^F1	Sep 19, 2016	P	14	$48.4573	A	14	I	Interest in Shares held by Rankin Associates V held in trust
Class A Common Stock^F1	Sep 19, 2016	P	3	$48.4573	A	3	I	interest in shares of RAV held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1	Sep 19, 2016	P	4	$48.4573	A	4	I	interest in shares of RAVI held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F2,F1,F3	Sep 19, 2016	P	489	$48.4573	A	4,177	I	Serves as Trustee of BTR 2012 GST for the benefit of Chloe R. Seelbach
Class A Common Stock^F4,F1,F3	Sep 19, 2016	P	489	$48.4573	A	4,177	I	Serves as Trustee of the BTR 2012 GST for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F5,F1,F3	Sep 19, 2016	P	489	$48.4573	A	4,177	I	Serves as Trustee of the BTR 2012 GST for the benefit of Julia R. Kuipers
Class A Common Stock^F6	holding	—	—		—	35,857	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F6	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock^F6	holding	—	—		—	2,283	I	Held in trust fbo Reporting Person's spouse.
Class A Common Stock	holding	—	—		—	19	I	Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person as general partner
Class A Common Stock	holding	—	—		—	0	D
Class A Common Stock^F6	holding	—	—		—	10,431	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F6	holding	—	—		—	769	I	Trustee of trust for the benefit of Reporting Person's child
Class A Common Stock	holding	—	—		—	14,567	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class A Common Stock	holding	—	—		—	38,736	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	65,824	I	proportionate limited partnership interest in shares held by Rankin Associates IV, 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	—	—		—	128,428	I	Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin
Class A Common Stock^F6	holding	—	—		—	13,431	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F6	holding	—	—		—	10,242	I	Co-Trustee for the benefit of Reporting Person's child

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^F7	—	holding	—	—	—	—	—	Class A Common Stock	64,143	64,143	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	2,783	2,783	I
Class B Common Stock^F3,F7	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F3,F7	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F3,F7	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F8,F7	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	10,431	10,431	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	10,027	10,027	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	26,057	26,057	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	38,736	38,736	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	123,760	123,760	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	13,431	13,431	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	10,072	10,072	I

Explanation of responses

F1Weighted Average- Share Price represents weighted average price between $48.24 and $48.68.
F2Shares represent interest in Rankin Associates VI
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
F4Shares represent interest in Rankin Associates VI
F5Shares represent interest in Rankin Associates VI
F6Reporting Person disclaims beneficial ownership of all such shares.
F7N/A
F8proportionate limited partnership interest in shares of Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.