SEC Form 4 · accession 0001127602-16-064326

HYSTER-YALE, INC. · HY

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

Reporting owner

Claiborne R Rankin

Director · Other

Period of report

Oct 3, 2016

Accepted (ET)

Oct 5, 2016 · 4:19 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	4	$60.5852	A	37	I	interest in shares held by RAV held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1	Oct 3, 2016	P	4	$60.5852	A	37	I	interest in shares held by RAVI held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F2	Oct 3, 2016	P	1	$59.8713	A	138	I	Interest in Shares held by Rankin Associates V
Class A Common Stock^F1	Oct 3, 2016	P	13	$60.5852	A	151	I	Interest in Shares held by Rankin Associates V
Class A Common Stock^F3,F2,F4	Oct 3, 2016	P	42	$59.8713	A	8,526	I	Serves as Trustee of BTR 2012 GST for the benefit of Chloe R. Seelbach
Class A Common Stock^F3,F1,F4	Oct 3, 2016	P	457	$60.5852	A	8,983	I	Serves as Trustee of BTR 2012 GST for the benefit of Chloe R. Seelbach
Class A Common Stock^F3,F2,F4	Oct 3, 2016	P	42	$59.8713	A	8,527	I	Serves as Trustee of the BTR 2012 GST for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F3,F1,F4	Oct 3, 2016	P	457	$60.5852	A	8,984	I	Serves as Trustee of the BTR 2012 GST for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F3,F2,F4	Oct 3, 2016	P	42	$59.8713	A	8,526	I	Serves as Trustee of the BTR 2012 GST for the benefit of Julia R. Kuipers
Class A Common Stock^F3,F1,F4	Oct 3, 2016	P	457	$60.5852	A	8,983	I	Serves as Trustee of the BTR 2012 GST for the benefit of Julia R. Kuipers
Class A Common Stock^F5	holding	—	—		—	35,857	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F5	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock^F5	holding	—	—		—	2,283	I	Held in trust fbo Reporting Person's spouse.
Class A Common Stock	holding	—	—		—	19	I	Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person as general partner
Class A Common Stock	holding	—	—		—	0	D
Class A Common Stock^F5	holding	—	—		—	10,431	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F5	holding	—	—		—	769	I	Trustee of trust for the benefit of Reporting Person's child
Class A Common Stock	holding	—	—		—	14,567	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class A Common Stock	holding	—	—		—	38,736	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	—	—		—	128,872	I	Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin
Class A Common Stock^F5	holding	—	—		—	13,431	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F5	holding	—	—		—	10,242	I	Co-Trustee for the benefit of Reporting Person's child

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	64,143	64,143	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	2,783	2,783	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^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F7,F6	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	10,431	10,431	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	10,027	10,027	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	26,057	26,057	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	38,736	38,736	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	123,760	123,760	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	13,431	13,431	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	10,072	10,072	I

Explanation of responses

F1Oct. 3, 2016-Weighted Average Block 2- Share Price represents average price between $60.03 and $60.95.
F2Oct. 3, 2016-Weighted Average Block 1- Share Price represents average price between $59.75 and $59.92.
F3Proportionate Interest in Shares held by 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
F7proportionate limited partnership interest in shares of Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.