SEC Form 4 · accession 0001127602-17-000953

HYSTER-YALE, INC. · HY

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

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

John C Butler Jr.

Other

Period of report

Dec 2, 2016

Accepted (ET)

Jan 5, 2017 · 2:02 pm EST

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	Dec 2, 2016	J	2,020	$0.00	D	80,066	I	Held by Trust for the benefit of Reporting Person's Spouse
Class A Common Stock	Dec 2, 2016	J	2,020	$0.00	A	2,020	I	Spouse's proportionate general partnership interest shares held by AMR Associates LP
Class A Common Stock	Jan 3, 2017	A	412	$0.00	A	23,524	I	Held in trust fbo Reporting Person.
Class A Common Stock^F1	holding	—	—		—	7,650	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F1	holding	—	—		—	4,513	I	Reporting Person is trustee of Trust fbo minor child.
Class A Common Stock^F1	holding	—	—		—	7,806	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F1	holding	—	—		—	4,357	I	Reporting Person is trustee of Trust fbo minor child.
Class A Common Stock^F1	holding	—	—		—	49,811	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates I, L.P
Class A Common Stock^F1	holding	—	—		—	12,402	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F1	holding	—	—		—	32,369	I	Spouse's proportionate limited partnership interest in shares held by RAIV Class A
Class A Common Stock	holding	—	—		—	0	D
Class A Common Stock	holding	—	—		—	2,800	I	Held in an Individual Retirement Account for the benefit of the Reporting Person
Class A Common Stock	holding	—	—		—	7,272	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P

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^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	7,650	7,650	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	3,683	3,683	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	7,806	7,806	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	3,527	3,527	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	12,402	12,402	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	2,800	2,800	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	7,272	7,272	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	17,262	17,262	I

Explanation of responses

F1Reporting Person disclaims beneficial ownership of all such shares.
F2Award-Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
F3N/A