SEC Form 4 · accession 0001127602-18-001008

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

Claiborne R Rankin

Director · Other

Period of report

Dec 14, 2017

Accepted (ET)

Jan 4, 2018 · 2:18 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 14, 2017	G	930	$0.00	D	36,808	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F1	Dec 14, 2017	G	163	$0.00	A	10,182	I	Serves as Trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock	Dec 14, 2017	G	163	$0.00	A	10,182	I	Serves as Trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F2	Dec 14, 2017	G	163	$0.00	A	10,182	I	Serves as Trustee of the GSTs for the benefit of Julia R. Kuipers
Class A Common Stock	Dec 19, 2017	G	130	$0.00	A	130	I	Spouse's proportionate interest in shares held by Rankin Associates VI
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^F3	Dec 19, 2017	G	287	$0.00	A	10,469	I	Serves as Trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F4	Dec 19, 2017	G	287	$0.00	A	10,469	I	Serves as Trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F5	Dec 19, 2017	G	287	$0.00	A	10,469	I	Serves as Trustee of the GSTs for the benefit of Julia R. Kuipers
Class A Common Stock	Jan 2, 2018	A	331	$0.00	A	130,860	I	Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin
Class A Common Stock^F7	holding	—	—		—	35,857	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F7	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock^F7	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	holding	—	—		—	14,567	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 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")

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^F8	—	Dec 14, 2017	G	930	D	—	—	Class A Common Stock	930	36,808	I
Class B Common Stock^F9,F8	—	Dec 14, 2017	G	291	A	—	—	Class A Common Stock	291	6,889	I
Class B Common Stock^F10,F8	—	Dec 14, 2017	G	291	A	—	—	Class A Common Stock	291	6,889	I
Class B Common Stock^F11,F8	—	Dec 14, 2017	G	291	A	—	—	Class A Common Stock	291	6,889	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	64,143	64,143	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	2,783	2,783	I
Class B Common Stock^F12,F8	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	26,057	26,057	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	123,760	123,760	I

Explanation of responses

F1Represents proportionate interest in shares of Rankin Associates I
F10Represents proportionate interest in shares of Rankin Associates I
F11Represents proportionate interest in shares of Rankin Associates I
F12proportionate limited partnership interest in shares of Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.
F2Represents proportionate interest in shares of Rankin Associates I
F3Represents proportionate interest in shares of Rankin Associates VI
F4Represents proportionate interest in shares of Rankin Associates VI
F5Represents proportionate interest in shares of Rankin Associates VI
F6Award-Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
F7Reporting Person disclaims beneficial ownership of all such shares.
F8N/A
F9Represents proportionate interest in shares of Rankin Associates I