SEC Form 4/A · accession 0001127602-18-013973

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

John C Butler Jr.

Other

Period of report

Dec 14, 2017

Accepted (ET)

Apr 4, 2018 · 3:13 pm 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^F1	Dec 14, 2017	G	3,972	$0.00	A	5,126	I	Spouse's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F2	Dec 14, 2017	G	279	$0.00	A	279	I	child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F3	Dec 14, 2017	G	279	$0.00	A	279	I	child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F4	Dec 14, 2017	G	81	$0.00	A	12,384	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	Dec 14, 2017	G	163	$0.00	A	7,634	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F4	Dec 14, 2017	G	163	$0.00	D	12,221	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F4	Dec 14, 2017	G	163	$0.00	A	8,211	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F4	Dec 14, 2017	G	163	$0.00	D	12,058	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F4	Dec 14, 2017	G	163	$0.00	A	8,367	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
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	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock	Dec 19, 2017	G	130	$0.00	A	130	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock	Dec 19, 2017	G	130	$0.00	A	130	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock	Jan 2, 2018	A	331	$0.00	A	25,100	I	Held in trust fbo Reporting Person.
Class A Common Stock^F4	holding	—	—		—	4,513	I	Reporting Person is trustee of Trust fbo minor child.
Class A Common Stock^F4	holding	—	—		—	4,357	I	Reporting Person is trustee of Trust fbo minor child.
Class A Common Stock^F4	holding	—	—		—	49,811	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates I, L.P
Class A Common Stock^F4	holding	—	—		—	32,369	I	Spouse's proportionate limited partnership interest in shares held by RAIV Class A
Class A Common Stock^F4	holding	—	—		—	80,066	I	Held by Trust for the benefit of Reporting Person's Spouse
Class A Common Stock	holding	—	—		—	2,800	I	Held in an Individual Retirement Account for the benefit of the Reporting Person

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^F7,F6	—	Dec 14, 2017	G	4,628	A	—	—	Class A Common Stock	4,628	5,972	I
Class B Common Stock^F8,F6	—	Dec 14, 2017	G	326	A	—	—	Class A Common Stock	326	326	I
Class B Common Stock^F9,F6	—	Dec 14, 2017	G	326	A	—	—	Class A Common Stock	326	326	I
Class B Common Stock^F4,F6	—	Dec 14, 2017	G	81	A	—	—	Class A Common Stock	81	12,384	I
Class B Common Stock^F6	—	Dec 14, 2017	G	163	A	—	—	Class A Common Stock	163	7,634	I
Class B Common Stock^F4,F6	—	Dec 14, 2017	G	163	D	—	—	Class A Common Stock	163	12,221	I
Class B Common Stock^F4,F6	—	Dec 14, 2017	G	163	A	—	—	Class A Common Stock	163	8,211	I
Class B Common Stock^F4,F6	—	Dec 14, 2017	G	163	D	—	—	Class A Common Stock	163	12,058	I
Class B Common Stock^F4,F6	—	Dec 14, 2017	G	163	A	—	—	Class A Common Stock	163	8,367	I
Class B Common Stock^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	3,683	3,683	I
Class B Common Stock^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	3,527	3,527	I
Class B Common Stock^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F4,F6	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	2,800	2,800	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	17,262	17,262	I

Explanation of responses

F1Share amount previously reported was based on preliminary valuation of partnership interests and has been adjusted in this amendment to Form 4 to reflect the final valuation of partnership interests, and corresponding adjustment to the number of shares attributed to Reporting Person's Spouse's partnership interest.
F2Share amount previously reported was based on preliminary valuation of partnership interests and has been adjusted in this amendment to Form 4 to reflect the final valuation of partnership interests, and corresponding adjustment to the number of shares attributed to Reporting Person's Child's partnership interest.
F3Share amount previously reported was based on preliminary valuation of partnership interests and has been adjusted in this amendment to Form 4 to reflect the final valuation of partnership interests, and corresponding adjustment to the number of shares attributed to Reporting Person's Child's partnership interest.
F4Reporting Person disclaims beneficial ownership of all such shares.
F5Award-Shares of Class A Common Stock awarded to the Reporting Person as "Required Shares" under the company's Non-Employee Directors' Equity Compensation Plan.
F6N/A
F7Share amount previously reported was based on preliminary valuation of partnership interests and has been adjusted in this amendment to Form 4 to reflect the final valuation of partnership interests, and corresponding adjustment to the number of shares attributed to Reporting Person's Spouse's partnership interest.
F8Share amount previously reported was based on preliminary valuation of partnership interests and has been adjusted in this amendment to Form 4 to reflect the final valuation of partnership interests, and corresponding adjustment to the number of shares attributed to Reporting Person's Child's partnership interest.
F9Share amount previously reported was based on preliminary valuation of partnership interests and has been adjusted in this amendment to Form 4 to reflect the final valuation of partnership interests, and corresponding adjustment to the number of shares attributed to Reporting Person's Child's partnership interest.