SEC Form 4 · accession 0001127602-16-063470

HYSTER-YALE, INC. · HY

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

Reporting owner

Victoire G Rankin

Other

Period of report

Sep 28, 2016

Accepted (ET)

Sep 30, 2016 · 11:53 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 28, 2016	P	3	$57.9237	A	26	I	spouse's proportionate interest in shares held by RAV held by Rankin Management, Inc.
Class A Common Stock^F2	Sep 28, 2016	P	1	$58.8137	A	27	I	spouse's proportionate interest in shares held by RAV held by Rankin Management, Inc.
Class A Common Stock^F1	Sep 28, 2016	P	3	$57.9237	A	26	I	spouse's proportionate interest in shares held by RAVI held by Rankin Management, Inc.
Class A Common Stock^F2	Sep 28, 2016	P	1	$58.8137	A	27	I	spouse's proportionate interest in shares held by RAVI held by Rankin Management, Inc.
Class A Common Stock^F1	Sep 28, 2016	P	12	$57.9237	A	109	I	Represents spouse's proportionate interest in shares held by Rankin Associates V
Class A Common Stock^F2	Sep 28, 2016	P	3	$58.8137	A	112	I	Represents spouse's proportionate interest in shares held by Rankin Associates V
Class A Common Stock^F3,F1	Sep 28, 2016	P	641	$57.9237	A	9,406	I	Spouse serves as trustee for the BTR 2012 GST for the benefit of Clara Williams
Class A Common Stock^F3,F2	Sep 28, 2016	P	154	$58.8137	A	9,560	I	Spouse serves as trustee for the BTR 2012 GST for the benefit of Clara Williams
Class A Common Stock^F3,F1	Sep 28, 2016	P	640	$57.9237	A	9,405	I	Spouse serves as trustee for BTR 2012 GST for the benefit of Helen Butler
Class A Common Stock^F3,F2	Sep 28, 2016	P	155	$58.8137	A	9,560	I	Spouse serves as trustee for BTR 2012 GST for the benefit of Helen Butler
Class A Common Stock^F1	Sep 28, 2016	P	5,991	$57.9237	A	53,398	I	Spouse serves as trustee of Trust fbo Clara LT Rankin representing interest in shares held by RA5
Class A Common Stock^F2	Sep 28, 2016	P	1,435	$58.8137	A	54,833	I	Spouse serves as trustee of Trust fbo Clara LT Rankin representing interest in shares held by RA5
Class A Common Stock^F1	Sep 28, 2016	P	908	$57.9237	A	8,092	I	Spouse serves as trustee of Trust fbo Clara LT Rankin representing interest in shares held by RA6
Class A Common Stock^F2	Sep 28, 2016	P	217	$58.8137	A	8,309	I	Spouse serves as trustee of Trust fbo Clara LT Rankin representing interest in shares held by RA6
Class A Common Stock^F4	holding	—	—		—	13,600	I	spouse serves as Trustee of Trusts for the benefit of each of grantor's grandchildren
Class A Common Stock^F4	holding	—	—		—	14,752	I	Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse
Class A Common Stock^F4	holding	—	—		—	251,980	I	spouse serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr
Class A Common Stock^F4	holding	—	—		—	10,271	I	Spouse's proportionate limited partnership interest in shares held by RA1
Class A Common Stock^F4	holding	—	—		—	753	I	Spouses's proportionate limited parternship interest in shares held by AMR RAII
Class A Common Stock^F4	holding	—	—		—	19	I	Spouse's proporationate partnership interest in RAIV
Class A Common Stock	holding	—	—		—	1,087	I	Spouses proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock^F4	holding	—	—		—	1,975	I	spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F4	holding	—	—		—	21,286	I	spouse serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin, Sr
Class A Common Stock^F4	holding	—	—		—	44,296	I	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust's proportionate interest of RA1
Class A Common Stock^F4	holding	—	—		—	27,929	I	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust proporationate interest in RAII
Class A Common Stock^F4	holding	—	—		—	46,182	I	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust's proportionate interest of RA4
Class A Common Stock^F4	holding	—	—		—	19	I	Spouse is a Trustee of a Trust for the benefit of Bruce T. Rankin
Class A Common Stock	holding	—	—		—	2,116	I	proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock	holding	—	—		—	21,006	I	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^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	13,600	13,600	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	14,160	14,160	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	232,993	232,993	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	18,373	18,373	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	753	753	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	1,721	1,721	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	21,286	21,286	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	79,240	79,240	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	27,929	27,929	I
Class B Common Stock^F6,F5	—	holding	—	—	—	—	—	Class A Common Stock	73,166	73,166	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	747	747	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	21,006	21,006	I

Explanation of responses

F1Sept 28, 2016-Weighted Average Block 1- Share Price represents average price between $57.46 and $58.45.
F2Sept 28, 2016-Weighted Average Block 2- Share Price represents average price between $58.47 and $59.05.
F3Interest in Shares held by RA6
F4Reporting Person disclaims beneficial ownership of all such shares.
F5N/A
F6BTR RA4-Represents the proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person's spouse serves as the Trustee of the Trust which is held for the benefit of Bruce T Rankin. Reporting person disclaims beneficial ownership of all such shares.