SEC Form 4 · accession 0001127602-16-064335
HYSTER-YALE, INC. · HY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Oct 3, 2016
Accepted (ET)
Oct 5, 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 | Oct 3, 2016 | P | 42 | $59.8713 | A | 4,839 | I | Proportionate Interest in Shares held by RA6 |
| Class A Common StockF3,F2 | Oct 3, 2016 | P | 457 | $60.5852 | A | 5,296 | I | Proportionate Interest in Shares held by RA6 |
| Class A Common StockF4,F2 | Oct 4, 2016 | P | 301 | $60.6579 | A | 5,597 | I | Proportionate Interest in Shares held by RA6 |
| Class A Common StockF5,F2 | Oct 4, 2016 | P | 198 | $61.4062 | A | 5,795 | 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 StockF6 | — | holding | — | — | — | — | — | Class A Common Stock | 6,598 | 6,598 | I |
Explanation of responses
- F1Oct. 3, 2016-Weighted Average Block 1- Share Price represents average price between $59.75 and $59.92.
- F2Interest in shares of RAVI held by Trust
- F3Oct. 3, 2016-Weighted Average Block 2- Share Price represents average price between $60.03 and $60.95.
- F4Oct. 4, 2016-Weighted Average Block 1- Share Price represents average price between $60.35 and $60.98.
- F5Oct. 4, 2016-Weighted Average Block 2- Share Price represents average price between $61.05 and $61.71.
- F6N/A