SEC Form 4 · accession 0001127602-16-064303

HYSTER-YALE, INC. · HY

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

Reporting owner

Alfred M Et Al Rankin

Officer — Chairman · Director

Period of report

Oct 3, 2016

Accepted (ET)

Oct 5, 2016 · 4:02 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	Oct 3, 2016	P	1	$59.8713	A	34	I	Proportionate Interest in shares held by RA5 held by Rankin Management Inc.
Class A Common Stock^F2	Oct 3, 2016	P	3	$60.5852	A	37	I	Proportionate Interest in shares held by RA5 held by Rankin Management Inc.
Class A Common Stock^F1	Oct 3, 2016	P	1	$59.8713	A	34	I	Proportionate Interest in shares held by RA6 held by Rankin Management Inc.
Class A Common Stock^F2	Oct 3, 2016	P	3	$60.5852	A	37	I	Proportionate Interest in shares held by RA6 held by Rankin Management Inc.
Class A Common Stock^F1	Oct 3, 2016	P	1	$59.8713	A	137	I	Represents the proportionate interest in shares held by RA5
Class A Common Stock^F2	Oct 3, 2016	P	13	$60.5852	A	150	I	Represents the proportionate interest in shares held by RA5
Class A Common Stock^F1	Oct 3, 2016	P	595	$59.8713	A	67,806	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock^F2	Oct 3, 2016	P	6,401	$60.5852	A	74,207	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock^F1	Oct 3, 2016	P	90	$59.8713	A	10,273	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA6
Class A Common Stock^F2	Oct 3, 2016	P	970	$60.5852	A	11,243	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA6
Class A Common Stock^F3,F1	Oct 3, 2016	P	64	$59.8713	A	10,949	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Clara R. Williams
Class A Common Stock^F3,F2	Oct 3, 2016	P	685	$60.5852	A	11,634	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Clara R. Williams
Class A Common Stock^F3,F1	Oct 3, 2016	P	64	$59.8713	A	10,949	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Helen R. Butler
Class A Common Stock^F3,F2	Oct 3, 2016	P	685	$60.5852	A	11,634	I	Reporting Person Serves as Trustee for BTR 2012 GST Trust for the Benefit of Helen R. Butler
Class A Common Stock	holding	—	—		—	14,752	I	Held in an Individual Retirement Account for the benefit of the Reporting Person.
Class A Common Stock	holding	—	—		—	251,980	I	Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
Class A Common Stock	holding	—	—		—	10,271	I	proportionate LP interest in shares held by RA I in qualified annuity interest trust-benefit of AMR
Class A Common Stock	holding	—	—		—	753	I	Represents the proportionate limited partnership interest in shares held by Rankin Associates II, LP
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest shares held by RAIV
Class A Common Stock	holding	—	—		—	1,087	I	Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	holding	—	—		—	1,975	I	proportionate LP interest in shares of RA II LP held by Rankin Management Inc as general partner
Class A Common Stock^F4	holding	—	—		—	21,286	I	Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin.
Class A Common Stock^F4	holding	—	—		—	44,296	I	proportionate LP interest in shares held by RA I LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F4	holding	—	—		—	27,929	I	proportionate LP interest in shares held by RA II LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F4	holding	—	—		—	46,182	I	Trustee of a Trust for the benefit of Bruce T Rankin, Trust's proportionate interest of RAIV
Class A Common Stock^F4	holding	—	—		—	19	I	Reporting person serves as Trustee of a Trust for the benefit of Bruce T. Rankin
Class A Common Stock^F4	holding	—	—		—	13,600	I	Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren
Class A Common Stock^F4	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by RA II LP
Class A Common Stock^F4	holding	—	—		—	21,006	I	spouse 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^F5	—	holding	—	—	—	—	—	Class A Common Stock	14,160	14,160	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	232,993	232,993	I
Class B Common Stock^F5	—	holding	—	—	—	—	—	Class A Common Stock	18,373	18,373	I
Class B Common Stock^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^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^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^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	13,600	13,600	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F4,F5	—	holding	—	—	—	—	—	Class A Common Stock	21,006	21,006	I

Explanation of responses

F1Oct. 3, 2016-Weighted Average Block 1- Share Price represents average price between $59.75 and $59.92.
F2Oct. 3, 2016-Weighted Average Block 2- Share Price represents average price between $60.03 and $60.95.
F3Representing interest in shares held by RA6
F4Reporting Person disclaims beneficial ownership of all such shares.
F5N/A