SEC Form 4 · accession 0001127602-17-001036

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

Jan 3, 2017

Accepted (ET)

Jan 5, 2017 · 3:59 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	Jan 3, 2017	A	412	$0.00	A	129,284	I	Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin
Class A Common Stock^F2	holding	—	—		—	35,857	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F2	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock^F2	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^F2	holding	—	—		—	10,431	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F2	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	—	—		—	179	I	Interest in Shares held by Rankin Associates V
Class A Common Stock	holding	—	—		—	45	I	interest in shares held by RAV held by Rankin Management, Inc. ("RMI")
Class A Common Stock	holding	—	—		—	44	I	interest in shares held by RAVI held by Rankin Management, Inc. ("RMI")
Class A Common Stock	holding	—	—		—	1,975	I	proportionate interest in shares held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F3	holding	—	—		—	10,017	I	Serves as Trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F3	holding	—	—		—	10,018	I	Serves as Trustee of the GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F3	holding	—	—		—	10,017	I	Serves as Trustee of the GSTs for the benefit of Julia R. Kuipers
Class A Common Stock^F2	holding	—	—		—	13,431	I	Childs trusts proportionate interests in shares held by Rankin Assoc II. Father is co-trustee
Class A Common Stock^F2	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^F4	—	holding	—	—	—	—	—	Class A Common Stock	64,143	64,143	I
Class B Common Stock^F2,F4	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	2,783	2,783	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F5,F4	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F2,F4	—	holding	—	—	—	—	—	Class A Common Stock	10,431	10,431	I
Class B Common Stock^F2,F4	—	holding	—	—	—	—	—	Class A Common Stock	10,027	10,027	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	26,057	26,057	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	38,736	38,736	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	123,760	123,760	I
Class B Common Stock^F2,F4	—	holding	—	—	—	—	—	Class A Common Stock	13,431	13,431	I
Class B Common Stock^F2,F4	—	holding	—	—	—	—	—	Class A Common Stock	10,072	10,072	I

Explanation of responses

F1Award-Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
F2Reporting Person disclaims beneficial ownership of all such shares.
F3child'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
F4N/A
F5proportionate limited partnership interest in shares of Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.