SEC Form 5 · accession 0001127602-18-006067

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, 2017

Accepted (ET)

Feb 14, 2018 · 3:33 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,F2	Dec 14, 2017	G	163	$0.00	A	20,119	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F3	Dec 14, 2017	G	163	$0.00	A	1,209	I	Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock	Dec 14, 2017	G	326	$0.00	D	4,693	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F4,F2	Dec 14, 2017	G	81	$0.00	A	20,119	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock	Dec 14, 2017	G	81	$0.00	A	1,209	I	Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock^F5	Dec 14, 2017	G	163	$0.00	A	13,779	I	Serves as Trustee of GSTs for the benefit of A. Farnham Rankin
Class A Common Stock^F6	Dec 14, 2017	G	163	$0.00	A	13,779	I	Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
Class A Common Stock^F2	holding	—	—		—	54,147	I	spouses proportionate LP interest in shares held by RA1
Class A Common Stock^F2	holding	—	—		—	29,986	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	130	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2	holding	—	—		—	3,123	I	spouse serves as Trustee of a Trust for the benefit of Alison Rankin
Class A Common Stock	holding	—	—		—	200	I	Reporting person serves as Trustee for the benefit of Elisabeth Rankin
Class A Common Stock	holding	—	—		—	765	I	Reporting person serves as co-trustee of trust fbo Elisabeth M. Rankin
Class A Common Stock^F2	holding	—	—		—	1,851	I	Spouse is Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock^F7	holding	—	—		—	130	I	Proportionate interest of shares held by Rankin Associates VI
Class A Common Stock^F2	holding	—	—		—	17,987	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F8	holding	—	—		—	130	I	Proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2	holding	—	—		—	3,738	I	Spouse is Co-Trustee for the benefit of Reporting Person's daughter.
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	—	—		—	130	I	Proportionate interest in shares held by Rankin Associates VI
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^F9	—	Dec 14, 2017	G	326	D	—	—	Class A Common Stock	326	4,693	I
Class B Common Stock^F10,F9	—	Dec 14, 2017	G	163	A	—	—	Class A Common Stock	163	444	I
Class B Common Stock^F11,F2,F9	—	Dec 14, 2017	G	163	A	—	—	Class A Common Stock	163	20,119	I
Class B Common Stock^F2,F9	—	Dec 14, 2017	G	81	A	—	—	Class A Common Stock	81	20,119	I
Class B Common Stock^F9	—	Dec 14, 2017	G	81	A	—	—	Class A Common Stock	81	444	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^F13,F9	—	Dec 14, 2017	G	291	A	—	—	Class A Common Stock	291	6,889	I
Class B Common Stock^F2,F9	—	holding	—	—	—	—	—	Class A Common Stock	96,861	96,861	I
Class B Common Stock^F2,F9	—	holding	—	—	—	—	—	Class A Common Stock	29,986	29,986	I
Class B Common Stock^F2,F9	—	holding	—	—	—	—	—	Class A Common Stock	3,123	3,123	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F2,F9	—	holding	—	—	—	—	—	Class A Common Stock	1,851	1,851	I
Class B Common Stock^F2,F9	—	holding	—	—	—	—	—	Class A Common Stock	17,987	17,987	I
Class B Common Stock^F2,F9	—	holding	—	—	—	—	—	Class A Common Stock	3,738	3,738	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	6,168	6,168	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	193,760	193,760	I

Explanation of responses

F1Proportionate interest in shares held by Rankin Associates II
F10Proportionate interest in shares held by Rankin Associates II
F11Proportionate interest in shares held by Rankin Associates II
F12Shares represents proportionate interest in Rankin Associates I
F13Shares represents proportionate interest in Rankin Associates I
F2Reporting Person disclaims beneficial ownership of all such shares.
F3Proportionate interest in shares held by Rankin Associates II
F4Proportionate interest in shares held by Rankin Associates II
F5Shares represents proportionate interest in Rankin Associates I
F6Shares represents proportionate interest in Rankin Associates I
F7Held in trust u/a/d 12/30/2015
F8Interest held by Trust u/a/d 8/15/2012
F9N/A