SEC Form 5 · accession 0001127602-17-005978

HYSTER-YALE, INC. · HY

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

Reporting owner

Roger F Rankin

Other

Period of report

Dec 31, 2016

Accepted (ET)

Feb 14, 2017 · 3:49 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 22, 2016	G	199	$0.00	D	5,019	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F1	Dec 22, 2016	G	199	$0.00	A	17,987	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock	Nov 4, 2016	G	27,870	$0.00	D	5,019	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F1	Nov 4, 2016	G	27,870	$0.00	A	29,986	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P
Class A Common Stock	Dec 22, 2016	G	199	$0.00	D	5,019	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F1	Dec 22, 2016	G	199	$0.00	A	19,875	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F1	Dec 22, 2016	G	100	$0.00	A	19,875	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F1	Dec 22, 2016	G	100	$0.00	A	17,987	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F1	holding	—	—		—	54,147	I	spouses proportionate LP interest in shares held by RA1
Class A Common Stock^F1	holding	—	—		—	3,123	I	spouse serves as Trustee of a Trust for the benefit of Alison Rankin
Class A Common Stock	holding	—	—		—	765	I	Reporting person serves as co-trustee of trust fbo Elisabeth M. Rankin
Class A Common Stock^F1	holding	—	—		—	1,851	I	Spouse is Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock	holding	—	—		—	200	I	Reporting Person Serves as Custodian of UGMA for the benefit of Elisabeth M. Rankin
Class A Common Stock	holding	—	—		—	965	I	Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock^F1	holding	—	—		—	3,738	I	Spouse is Co-Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock^F1	holding	—	—		—	0	I	Reporting Person Serves as Custodian of UGMA for the benefit of A. Farnham Rankin
Class A Common Stock	holding	—	—		—	13,185	I	Serves as Trustee of GSTs for the benefit of A. Farnham Rankin
Class A Common Stock	holding	—	—		—	13,185	I	Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest in shares of Rankin Associates IV,
Class A Common Stock	holding	—	—		—	3,448	I	proportionate limited partnership interest in shares held by Rankin Associates I, 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 of Rankin Associates V held by Rankin Management
Class A Common Stock	holding	—	—		—	44	I	Interest in shares of Rankin Associates VI held by Rankin Management
Class A Common Stock	holding	—	—		—	1,975	I	proportionate interest in shares held by Rankin Management, Inc. ("RMI).
Class A Common Stock	holding	—	—		—	192,662	I	Reporting Person serves as Trustee of a Trust for the benefit of Roger F. Rankin

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	—	Nov 4, 2016	G	27,870	D	—	—	Class A Common Stock	27,870	5,019	I
Class B Common Stock^F1,F2	—	Nov 4, 2016	G	27,870	A	—	—	Class A Common Stock	27,870	29,986	I
Class B Common Stock^F1,F2	—	Dec 22, 2016	G	199	A	—	—	Class A Common Stock	199	17,987	I
Class B Common Stock^F2	—	Dec 22, 2016	G	199	D	—	—	Class A Common Stock	199	5,019	I
Class B Common Stock^F1,F2	—	Dec 22, 2016	G	199	A	—	—	Class A Common Stock	199	19,875	I
Class B Common Stock^F2	—	Dec 22, 2016	G	199	D	—	—	Class A Common Stock	199	5,019	I
Class B Common Stock^F1,F2	—	Dec 22, 2016	G	100	A	—	—	Class A Common Stock	100	19,875	I
Class B Common Stock^F1,F2	—	Dec 22, 2016	G	100	A	—	—	Class A Common Stock	100	17,987	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F1,F2	—	holding	—	—	—	—	—	Class A Common Stock	96,861	96,861	I
Class B Common Stock^F1,F2	—	holding	—	—	—	—	—	Class A Common Stock	3,123	3,123	I
Class B Common Stock^F1,F2	—	holding	—	—	—	—	—	Class A Common Stock	1,851	1,851	I
Class B Common Stock^F1,F2	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F1,F2	—	holding	—	—	—	—	—	Class A Common Stock	3,738	3,738	I
Class B Common Stock^F1,F2	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	6,168	6,168	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F2	—	holding	—	—	—	—	—	Class A Common Stock	193,760	193,760	I

Explanation of responses

F1Reporting Person disclaims beneficial ownership of all such shares.
F2N/A