SEC Form 4/A · accession 0001127602-17-011312

HYSTER-YALE, INC. · HY

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

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Victoire G Rankin

Other

Period of report

Jan 11, 2017

Accepted (ET)

Mar 13, 2017 · 7:55 am 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 Stock^F2,F3	Feb 27, 2017	A	13,243	$0.00	A	82,617	I	spouse serves as Trustee of a Trust for the benefit of Alfred M. Rankin, Jr
Class A Common Stock^F3	holding	—	—		—	0	I	spouse serves as Trustee of the Alfred M. Rankin, Jr. 2011 Grantor Retained Annuity Trust
Class A Common Stock^F3	holding	—	—		—	0	I	spouse serves as Trustee of the Alfred M. Rankin, Jr. 2012 Grantor Retained Annuity Trust
Class A Common Stock	holding	—	—		—	184,338	I	Represents Spouse's proportionate limited partnership interest in shares held by AMR Associates LP
Class A Common Stock^F3	holding	—	—		—	9,600	I	spouse serves as Trustee of Trusts for the benefit of each of grantor's grandchildren
Class A Common Stock^F3	holding	—	—		—	14,752	I	Held in an Individual Retirement Account for the benefit of the Reporting Person's spouse
Class A Common Stock^F3	holding	—	—		—	10,271	I	Spouse's proportionate limited partnership interest in shares held by RA1
Class A Common Stock^F3	holding	—	—		—	1,277	I	Spouses's proportionate limited parternship interest in shares held by AMR RAII
Class A Common Stock^F3	holding	—	—		—	19	I	Spouse's proporationate partnership interest in RAIV
Class A Common Stock	holding	—	—		—	1,087	I	Spouses proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	holding	—	—		—	179	I	Represents spouse's proportionate interest in shares held by Rankin Associates V
Class A Common Stock^F3	holding	—	—		—	1,975	I	spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI")
Class A Common Stock	holding	—	—		—	45	I	spouse's proportionate interest in shares held by RAV held by Rankin Management, Inc.
Class A Common Stock	holding	—	—		—	44	I	spouse's proportionate interest in shares held by RAVI held by Rankin Management, Inc.
Class A Common Stock^F3	holding	—	—		—	21,286	I	spouse serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin, Sr
Class A Common Stock^F3	holding	—	—		—	0	I	spouse serves as Trustee of the Clara T. Rankin Remainder Unitrust#2 u/a/d 1/5/77
Class A Common Stock^F3	holding	—	—		—	44,296	I	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust's proportionate interest of RA1
Class A Common Stock^F3	holding	—	—		—	26,929	I	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust proporationate interest in RAII
Class A Common Stock^F3	holding	—	—		—	46,182	I	Spouse is a Trustee of a Trust for the benefit of BT Rankin, Trust's proportionate interest of RA4
Class A Common Stock^F3	holding	—	—		—	19	I	Spouse is a Trustee of a Trust for the benefit of Bruce T. Rankin
Class A Common Stock	holding	—	—		—	88,689	I	Spouse serves as trustee of Trust fbo Clara LT Rankin representing interest in shares held by RA5
Class A Common Stock	holding	—	—		—	13,437	I	Spouse serves as trustee of Trust fbo Clara LT Rankin representing interest in shares held by RA6
Class A Common Stock	holding	—	—		—	0	I	spouse serves as the Trustee of the Trust which is held for the benefit of Clara LT Rankin
Class A Common Stock	holding	—	—		—	13,184	I	Spouse serves as trustee for the GSTs for the benefit of Clara Williams
Class A Common Stock	holding	—	—		—	13,184	I	Spouse serves as trustee for GSTs for the benefit of Helen Butler
Class A Common Stock	holding	—	—		—	0	I	proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock	holding	—	—		—	21,006	I	serves as Trustee of a Trust for the benefit of Victoire G. 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^F3,F4	—	Jan 11, 2017	J	4,000	D	—	—	Class A Common Stock	4,000	9,600	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	214,706	214,706	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	14,160	14,160	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	15,599	15,599	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	18,373	18,373	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	1,277	1,277	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	1,721	1,721	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	21,286	21,286	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	79,240	79,240	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	26,929	26,929	I
Class B Common Stock^F6,F4	—	holding	—	—	—	—	—	Class A Common Stock	73,166	73,166	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	747	747	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	6,598	6,598	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	0	0	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	21,006	21,006	I

Explanation of responses

F1Spouse's LTIP Award-Shares of Class A Common Stock awarded to the Reporting Person under the company's Long-Term Incentive Compensation Plan
F2Original Form 4 included incorrect number of shares [awarded pursuant to the Company's Long-Term Incentive Compensation Plan]
F3Reporting Person disclaims beneficial ownership of all such shares.
F4N/A
F5Transfer of shares pursuant to the terms of the trust
F6BTR RA4-Represents the proportionate limited partnership interest in shares held by Rankin Associates IV, L.P. Reporting Person's spouse serves as the Trustee of the Trust which is held for the benefit of Bruce T Rankin. Reporting person disclaims beneficial ownership of all such shares.