SEC Form 4 · accession 0001127602-16-063396

HYSTER-YALE, INC. · HY

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

Reporting owner

Thomas T Rankin

Other

Period of report

Sep 27, 2016

Accepted (ET)

Sep 29, 2016 · 11:26 am 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 27, 2016	P	2	$56.556	A	21	I	Proportionate interest in shares held by RA5 held by RMI
Class A Common Stock^F2	Sep 27, 2016	P	2	$57.3069	A	23	I	Proportionate interest in shares held by RA5 held by RMI
Class A Common Stock^F1	Sep 27, 2016	P	1	$56.556	A	21	I	Proportionate interest in shares held by RA6 held by RMI
Class A Common Stock^F2	Sep 27, 2016	P	3	$57.3069	A	24	I	Proportionate interest in shares held by RA6 held by RMI
Class A Common Stock^F1	Sep 27, 2016	P	6	$56.556	A	88	I	Proportionate Interest in shares held by RAV
Class A Common Stock^F2	Sep 27, 2016	P	9	$57.3069	A	97	I	Proportionate Interest in shares held by RAV
Class A Common Stock^F3,F1,F4	Sep 27, 2016	P	203	$56.556	A	6,745	I	Serves as Trustee of BTR 2012 GST for the benefit of James Rankin
Class A Common Stock^F3,F2,F4	Sep 27, 2016	P	327	$57.3069	A	7,072	I	Serves as Trustee of BTR 2012 GST for the benefit of James Rankin
Class A Common Stock^F3,F1,F4	Sep 27, 2016	P	203	$56.556	A	6,745	I	Serves as Trustee of BTR 2012 GST for the benefit of Matthew Rankin
Class A Common Stock^F3,F2,F4	Sep 27, 2016	P	327	$57.3069	A	7,072	I	Serves as Trustee of BTR 2012 GST for the benefit of Matthew Rankin
Class A Common Stock^F3,F1,F4	Sep 27, 2016	P	203	$56.556	A	6,744	I	Serves as trustee of BTR 2012 GST for the benefit of Thomas P. Rankin
Class A Common Stock^F3,F2,F4	Sep 27, 2016	P	327	$57.3069	A	7,071	I	Serves as trustee of BTR 2012 GST for the benefit of Thomas P. Rankin
Class A Common Stock^F5	holding	—	—		—	3,622	I	Held by Spouse
Class A Common Stock^F5	holding	—	—		—	14,343	I	Spouses proportionate interest in shares held by RA1
Class A Common Stock^F5	holding	—	—		—	1,843	I	spouse's proportionate limited partnership interest in shares held by RA II LP
Class A Common Stock^F5	holding	—	—		—	9,565	I	son's proportionate lp interest in shares held by RA II for benefit of son
Class A Common Stock^F5	holding	—	—		—	8,177	I	Co-Trustee for the benefit of Reporting Person's son.
Class A Common Stock	holding	—	—		—	7	D
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest in shares of Rankin Associates IV, L.P held by the Trust
Class A Common Stock	holding	—	—		—	25,324	I	proportionate interest in shares held in RA1
Class A Common Stock	holding	—	—		—	36,839	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	65,824	I	Proportionate LP interest in shares held in RA4
Class A Common Stock	holding	—	—		—	1,975	I	Proportionate interest in shares held in RMI
Class A Common Stock	holding	—	—		—	146,004	I	Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. 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^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	3,622	3,622	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	25,657	25,657	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	1,843	1,843	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	9,565	9,565	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	8,509	8,509	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	7	7	D
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	45,300	45,300	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	36,839	36,839	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	145,912	145,912	I

Explanation of responses

F1Sept 27, 2016-Weighted Average Block 1- Share Price represents average price between $56.08 and $56.99.
F2Sept 27, 2016-Weighted Average Block 2- Share Price represents average price between $57.00 and $57.97.
F3Proportionate Interest in Shares held by RAVI
F4child'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
F5Reporting Person disclaims beneficial ownership of all such shares.
F6N/A