SEC Form 4 · accession 0001127602-18-001004

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

Chloe O Rankin

Other

Period of report

Dec 14, 2017

Accepted (ET)

Jan 4, 2018 · 2:14 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 14, 2017	G	930	$0.00	D	36,808	I	spouse's proportionate interest in shares held by RAII
Class A Common Stock^F2	Dec 14, 2017	G	163	$0.00	A	10,182	I	Spouse serves as trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F3	Dec 14, 2017	G	163	$0.00	A	10,182	I	Spouse serves as trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F4	Dec 14, 2017	G	163	$0.00	A	10,182	I	Spouse serves as trustee of GSTs for the benefit of Julia Kuipers
Class A Common Stock	Dec 19, 2017	G	130	$0.00	A	130	I	Proportionate interest in shares held by Rankin Associates VI
Class A Common Stock	Dec 19, 2017	G	130	$0.00	A	130	I	Spouse's proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F5	Dec 19, 2017	G	287	$0.00	A	10,469	I	Spouse serves as trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F6	Dec 19, 2017	G	287	$0.00	A	10,469	I	Spouse serves as trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F7	Dec 19, 2017	G	287	$0.00	A	10,469	I	Spouse serves as trustee of GSTs for the benefit of Julia Kuipers
Class A Common Stock^F1	Jan 2, 2018	A	331	$0.00	A	130,860	I	spouse serves as Trustee of a Trust for the benefit of Claiborne R. Rankin
Class A Common Stock	holding	—	—		—	35,857	I	proportionate LP interest in shares held by RA1
Class A Common Stock	holding	—	—		—	2,116	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	2,283	I	serves as Trustee of a Trust for the benefit of Chloe O. Rankin
Class A Common Stock^F1	holding	—	—		—	19	I	spouses proportionate GP interest in shares of RA IV
Class A Common Stock^F1	holding	—	—		—	14,567	I	spouse proportionate limited partnership interest in shares held by RA I LP
Class A Common Stock^F1	holding	—	—		—	65,824	I	proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	holding	—	—		—	179	I	Spouse's Interest in Shares held by Rankin Associates V
Class A Common Stock^F1	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 interest in shares held by RA5 held by Rankin Management
Class A Common Stock	holding	—	—		—	44	I	Spouse's interest in shares held by RA6 held by Rankin Management
Class A Common Stock	holding	—	—		—	0	I	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^F10,F9	—	Dec 14, 2017	G	291	A	—	—	Class A Common Stock	291	6,889	I
Class B Common Stock^F11,F9	—	Dec 14, 2017	G	291	A	—	—	Class A Common Stock	291	6,889	I
Class B Common Stock^F12,F9	—	Dec 14, 2017	G	291	A	—	—	Class A Common Stock	291	6,889	I
Class B Common Stock^F1,F9	—	Dec 14, 2017	G	930	D	—	—	Class A Common Stock	930	36,808	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	64,143	64,143	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	2,783	2,783	I
Class B Common Stock^F1,F9	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F1,F9	—	holding	—	—	—	—	—	Class A Common Stock	26,057	26,057	I
Class B Common Stock^F1,F9	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F1,F9	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F1,F9	—	holding	—	—	—	—	—	Class A Common Stock	123,760	123,760	I

Explanation of responses

F1Reporting Person disclaims beneficial ownership of all such shares.
F10Represents proportionate interest in shares of Rankin Associates I
F11Represents proportionate interest in shares of Rankin Associates I
F12Represents proportionate interest in shares of Rankin Associates I
F2Represents proportionate interest in shares of Rankin Associates I
F3Represents proportionate interest in shares of Rankin Associates I
F4Represents proportionate interest in shares of Rankin Associates I
F5Represents proportionate interest in shares of Rankin Associates VI
F6Represents proportionate interest in shares of Rankin Associates VI
F7Represents proportionate interest in shares of Rankin Associates VI
F8Spouse'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.
F9N/A