SEC Form 4 · accession 0001127602-16-063684

HYSTER-YALE, INC. · HY

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

Reporting owner

Roger F Rankin

Other

Period of report

Sep 29, 2016

Accepted (ET)

Oct 3, 2016 · 4:40 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 29, 2016	P	2	$58.5587	A	29	I	Interest in shares of Rankin Associates V held by Rankin Management
Class A Common Stock^F2	Sep 29, 2016	P	2	$59.2184	A	31	I	Interest in shares of Rankin Associates V held by Rankin Management
Class A Common Stock^F1	Sep 29, 2016	P	1	$58.5587	A	28	I	Interest in shares of Rankin Associates VI held by Rankin Management
Class A Common Stock^F2	Sep 29, 2016	P	2	$59.2184	A	30	I	Interest in shares of Rankin Associates VI held by Rankin Management
Class A Common Stock^F1	Sep 29, 2016	P	6	$58.5587	A	117	I	Interest in shares held by Rankin Associates V
Class A Common Stock^F2	Sep 29, 2016	P	9	$59.2184	A	126	I	Interest in shares held by Rankin Associates V
Class A Common Stock^F3,F1,F4	Sep 29, 2016	P	322	$58.5587	A	9,881	I	Serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
Class A Common Stock^F3,F2,F4	Sep 29, 2016	P	473	$59.2184	A	10,354	I	Serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
Class A Common Stock^F3,F1,F4	Sep 29, 2016	P	322	$58.5587	A	9,881	I	Serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
Class A Common Stock^F3,F2,F4	Sep 29, 2016	P	473	$59.2184	A	10,354	I	Serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
Class A Common Stock^F5	holding	—	—		—	54,147	I	spouses proportionate LP interest in shares held by RA1
Class A Common Stock^F5	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P
Class A Common Stock^F5	holding	—	—		—	3,123	I	spouse serves as Trustee of a Trust for the benefit of Alison Rankin
Class A Common Stock	holding	—	—		—	765	I	Reporting person serves as co-trustee of trust fbo Elisabeth M. Rankin
Class A Common Stock^F5	holding	—	—		—	19,576	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F5	holding	—	—		—	1,851	I	Spouse is Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock	holding	—	—		—	200	I	Reporting Person Serves as Custodian of UGMA for the benefit of Elisabeth M. Rankin
Class A Common Stock	holding	—	—		—	965	I	Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock^F5	holding	—	—		—	17,688	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F5	holding	—	—		—	3,738	I	Spouse is Co-Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock^F5	holding	—	—		—	0	I	Reporting Person Serves as Custodian of UGMA for the benefit of A. Farnham Rankin
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest in shares of Rankin Associates IV,
Class A Common Stock	holding	—	—		—	3,448	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class A Common Stock	holding	—	—		—	33,287	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	65,824	I	proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	holding	—	—		—	1,975	I	proportionate interest in shares held by Rankin Management, Inc. ("RMI).
Class A Common Stock	holding	—	—		—	192,662	I	Reporting Person serves as Trustee of a Trust for the benefit of Roger F. 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	200	200	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	96,861	96,861	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	3,123	3,123	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	19,576	19,576	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	1,851	1,851	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	17,688	17,688	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	3,738	3,738	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	6,168	6,168	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	33,287	33,287	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	193,760	193,760	I

Explanation of responses

F1Sept 29, 2016-Weighted Average Block 1- Share Price represents average price between $57.97 and $58.96.
F2Sept 29, 2016-Weighted Average Block 2- Share Price represents average price between $59.00 and $59.47.
F3Proportionate Interest in Shares of RA6
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