SEC Form 4 · accession 0001127602-16-063248

HYSTER-YALE, INC. · HY

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

Reporting owner

Alfred M Et Al Rankin

Officer — Chairman · Director

Period of report

Sep 23, 2016

Accepted (ET)

Sep 27, 2016 · 3:07 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 23, 2016	P	1	$54.5171	A	15	I	Proportionate Interest in shares held by RA5 held by Rankin Management Inc.
Class A Common Stock^F2	Sep 23, 2016	P	1	$55.8795	A	16	I	Proportionate Interest in shares held by RA5 held by Rankin Management Inc.
Class A Common Stock^F3	Sep 23, 2016	P	1	$53.60	A	15	I	Proportionate Interest in shares held by RA6 held by Rankin Management Inc.
Class A Common Stock^F1	Sep 23, 2016	P	1	$54.5171	A	16	I	Proportionate Interest in shares held by RA6 held by Rankin Management Inc.
Class A Common Stock^F1	Sep 23, 2016	P	5	$54.5171	A	61	I	Represents the proportionate interest in shares held by RA5
Class A Common Stock^F2	Sep 23, 2016	P	4	$55.8795	A	65	I	Represents the proportionate interest in shares held by RA5
Class A Common Stock	Sep 23, 2016	P	1	$56.00	A	66	I	Represents the proportionate interest in shares held by RA5
Class A Common Stock^F3	Sep 23, 2016	P	382	$53.60	A	27,797	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock^F1	Sep 23, 2016	P	2,512	$54.5171	A	30,309	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock^F2	Sep 23, 2016	P	1,553	$55.8795	A	31,862	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock	Sep 23, 2016	P	693	$56.00	A	32,555	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock^F4,F3	Sep 23, 2016	P	41	$53.60	A	6,663	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Clara R. Williams
Class A Common Stock^F4,F1	Sep 23, 2016	P	269	$54.5171	A	6,932	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Clara R. Williams
Class A Common Stock^F4,F2	Sep 23, 2016	P	167	$55.8795	A	7,099	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Clara R. Williams
Class A Common Stock^F4	Sep 23, 2016	P	74	$56.00	A	7,173	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Clara R. Williams
Class A Common Stock	holding	—	—		—	14,752	I	Held in an Individual Retirement Account for the benefit of the Reporting Person.
Class A Common Stock	holding	—	—		—	251,980	I	Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
Class A Common Stock	holding	—	—		—	10,271	I	proportionate LP interest in shares held by RA I in qualified annuity interest trust-benefit of AMR
Class A Common Stock	holding	—	—		—	753	I	Represents the proportionate limited partnership interest in shares held by Rankin Associates II, LP
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest shares held by RAIV
Class A Common Stock	holding	—	—		—	1,087	I	Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	holding	—	—		—	1,975	I	proportionate LP interest in shares of RA II LP held by Rankin Management Inc as general partner
Class A Common Stock^F5	holding	—	—		—	21,286	I	Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin.
Class A Common Stock^F5	holding	—	—		—	44,296	I	proportionate LP interest in shares held by RA I LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F5	holding	—	—		—	27,929	I	proportionate LP interest in shares held by RA II LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F5	holding	—	—		—	46,182	I	Trustee of a Trust for the benefit of Bruce T Rankin, Trust's proportionate interest of RAIV
Class A Common Stock^F5	holding	—	—		—	19	I	Reporting person serves as Trustee of a Trust for the benefit of Bruce T. Rankin
Class A Common Stock^F5	holding	—	—		—	13,600	I	Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren
Class A Common Stock^F5	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by RA II LP
Class A Common Stock^F5	holding	—	—		—	21,006	I	spouse 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^F6	—	holding	—	—	—	—	—	Class A Common Stock	14,160	14,160	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	232,993	232,993	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	18,373	18,373	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	753	753	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	1,721	1,721	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	21,286	21,286	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	79,240	79,240	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	27,929	27,929	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	73,166	73,166	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	747	747	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	13,600	13,600	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	21,006	21,006	I

Explanation of responses

F1Sept 23, 2016-Weighted Average Block 2- Share Price represents average price between $54.00 and $54.99.
F2Sept 23, 2016-Weighted Average Block 3- Share Price represents average price between $55.73 and $55.99.
F3Sept 23, 2016-Weighted Average Block 1- Share Price represents average price between $53.01 and $53.99.
F4Representing interest in shares held by RA6
F5Reporting Person disclaims beneficial ownership of all such shares.
F6N/A