SEC Form 4 · accession 0001127602-16-063665
HYSTER-YALE, INC. · HY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Sep 29, 2016
Accepted (ET)
Oct 3, 2016 · 4:22 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 StockF1,F2 | Sep 29, 2016 | P | 322 | $58.5587 | A | 6,194 | I | Proportionate Interest in Shares held by RA6 |
| Class A Common StockF3,F2 | Sep 29, 2016 | P | 473 | $59.2184 | A | 6,667 | I | Proportionate Interest in Shares held by RA6 |
| Class A Common StockF4,F2 | Sep 30, 2016 | P | 493 | $60.0016 | A | 7,160 | I | Proportionate Interest in Shares held by RA6 |
| Class A Common StockF2 | Sep 30, 2016 | P | 37 | $60.90 | A | 7,197 | 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 StockF5 | — | holding | — | — | — | — | — | Class A Common Stock | 6,598 | 6,598 | I |
Explanation of responses
- F1Sept 29, 2016-Weighted Average Block 1- Share Price represents average price between $57.97 and $58.96.
- F2Interest in shares of RAVI held in Trust
- F3Sept 29, 2016-Weighted Average Block 2- Share Price represents average price between $59.00 and $59.47.
- F4Sept 30, 2016-Weighted Average Block 1- Share Price represents average price between $59.56 and $60.50.
- F5N/A