SEC Form 4 · accession 0001127602-16-063687

HYSTER-YALE, INC. · HY

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

Reporting owner

Alison A Rankin

Other

Period of report

Sep 30, 2016

Accepted (ET)

Oct 3, 2016 · 4:42 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 30, 2016	P	2	$60.0016	A	33	I	spouse's interest in shares of Rankin Associates V held by Rankin Management, Inc. ("RMI")
Class A Common Stock	Sep 30, 2016	P	1	$60.90	A	34	I	spouse's interest in shares of Rankin Associates V held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1	Sep 30, 2016	P	3	$60.0016	A	33	I	spouse's interest in shares of Rankin Associates VI held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1	Sep 30, 2016	P	9	$60.0016	A	135	I	Spouse's proportionate interests in shares held by Rankin Associates V
Class A Common Stock	Sep 30, 2016	P	1	$60.90	A	136	I	Spouse's proportionate interests in shares held by Rankin Associates V
Class A Common Stock^F2,F1,F3	Sep 30, 2016	P	493	$60.0013	A	10,847	I	Spouse serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
Class A Common Stock^F2,F3	Sep 30, 2016	P	37	$60.90	A	10,884	I	Spouse serves as Trustee of BTR 2012 GST for the benefit of A. Farnham Rankin
Class A Common Stock^F2,F1,F3	Sep 30, 2016	P	493	$60.0016	A	10,847	I	Spouse serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
Class A Common Stock^F2,F3	Sep 30, 2016	P	37	$60.90	A	10,884	I	Spouse serves as Trustee of BTR 2012 GST for the benefit of Elisabeth M. Rankin
Class A Common Stock^F4	holding	—	—		—	54,147	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class A Common Stock	holding	—	—		—	2,116	I	Reporting Person?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock	holding	—	—		—	3,123	I	Reporting Person 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^F4	holding	—	—		—	19,576	I	Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F4	holding	—	—		—	1,851	I	Co-Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock	holding	—	—		—	200	I	Spouse serves as custodian for minor child
Class A Common Stock	holding	—	—		—	965	I	Spouse serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock^F4	holding	—	—		—	17,688	I	Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F4	holding	—	—		—	3,738	I	Co-Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock	holding	—	—		—	0	I	Spouse serves as custodian for A. Farnham Rankin UGMA
Class A Common Stock^F4	holding	—	—		—	19	I	Spouse's proportionate general partnership interest shares held by RAIV.
Class A Common Stock^F4	holding	—	—		—	3,448	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F4	holding	—	—		—	33,287	I	spouse's proportionate limited partnership interest in shares held by RA II, L.P
Class A Common Stock^F4	holding	—	—		—	65,824	I	Spouse's proportionate interests in shares held by Rankin Associates IV.
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	—	—		—	192,662	I	spouse 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^F5	—	holding	—	—	—	—	—	Class A Common Stock	96,861	96,861	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	3,123	3,123	I
Class B Common Stock^F3,F5	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F3,F5	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	19,576	19,576	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	1,851	1,851	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	17,688	17,688	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	3,738	3,738	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	6,168	6,168	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	33,287	33,287	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	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	193,760	193,760	I

Explanation of responses

F1Sept 30, 2016-Weighted Average Block 1- Share Price represents average price between $59.56 and $60.50.
F2Proportionate Interest in shares held by RA6
F3child'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
F4Reporting Person disclaims beneficial ownership of all such shares.
F5N/A