SEC Form 4 · accession 0001127602-17-000964

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

Helen Rankin Butler

Other

Period of report

Dec 2, 2016

Accepted (ET)

Jan 5, 2017 · 2:20 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	Dec 2, 2016	J	2,020	$0.00	D	80,066	I	held by Trust for the benefit of Reporting Person
Class A Common Stock	Dec 2, 2016	J	2,020	$0.00	A	2,020	I	proportionate general partnership interest shares held by AMR Associates LP
Class A Common Stock^F2	Jan 3, 2017	A	412	$0.00	A	23,524	I	spouse serves as Trustee with National City Bank of the J.C. Butler, Jr. Revocable Trust.
Class A Common Stock^F2	holding	—	—		—	7,650	I	child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F2	holding	—	—		—	4,513	I	held in Trust for the benefit of Reporting Person's minor child
Class A Common Stock^F2	holding	—	—		—	7,806	I	child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F2	holding	—	—		—	4,357	I	held in trust for the benefit of Reporting Person's minor child
Class A Common Stock	holding	—	—		—	49,811	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P.
Class A Common Stock	holding	—	—		—	12,402	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	32,369	I	proportionate limited partnership interests in shares held by Rankin Associates IV, L.P.
Class A Common Stock^F2	holding	—	—		—	2,800	I	Individual Retirement Account for the benefit of the Reporting Person's spouse
Class A Common Stock^F2	holding	—	—		—	7,272	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates II, LP
Class A Common Stock	holding	—	—		—	0	I	Held by Spouse

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^F2,F3	—	holding	—	—	—	—	—	Class A Common Stock	7,650	7,650	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	3,683	3,683	I
Class B Common Stock^F2,F3	—	holding	—	—	—	—	—	Class A Common Stock	7,806	7,806	I
Class B Common Stock^F2,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^F3	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	12,402	12,402	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F2,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^F2,F3	—	holding	—	—	—	—	—	Class A Common Stock	17,262	17,262	I

Explanation of responses

F1Spouse's Award-Shares of Class A Common Stock awarded to the Reporting Person's Spouse as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
F2Reporting Person disclaims beneficial ownership of all such shares.
F3N/A