SEC Form 4 · accession 0001127602-16-063479
HYSTER-YALE, INC. · HY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Sep 28, 2016
Accepted (ET)
Sep 30, 2016 · 11:59 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 StockF1,F2 | Sep 28, 2016 | P | 641 | $57.9237 | A | 5,718 | I | Proportionate Interest in Shares held by RA6 |
| Class A Common StockF3,F2 | Sep 28, 2016 | P | 154 | $58.8137 | A | 5,872 | I | Proportionate Interest in Shares held by RA6 |
| Class A Common Stock | holding | — | — | — | 3,688 | I | Proportionate Interest in Shares held by RA1 |
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 StockF4 | — | holding | — | — | — | — | — | Class A Common Stock | 6,598 | 6,598 | I |
Explanation of responses
- F1Sept 28, 2016-Weighted Average Block 1- Share Price represents average price between $57.46 and $58.45.
- F2Interest in shares of RAVI held in Trust
- F3Sept 28, 2016-Weighted Average Block 2- Share Price represents average price between $58.47 and $59.05.
- F4N/A