SEC Form 4 · accession 0001127602-18-029036

HYSTER-YALE, INC. · HY

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

Reporting owner

Claiborne R Rankin

Director · Other

Period of report

Sep 28, 2018

Accepted (ET)

Oct 2, 2018 · 4:28 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,F2	Sep 28, 2018	P	1	$61.12	A	48	I	interest in shares held by RAV held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1,F2	Sep 28, 2018	P	1	$61.12	A	191	I	Interest in Shares held by Rankin Associates V
Class A Common Stock^F1,F2	Sep 28, 2018	P	51	$61.12	A	11,199	I	Serves as Trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F1,F2	Sep 28, 2018	P	51	$61.12	A	11,199	I	Serves as Trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F1,F2	Sep 28, 2018	P	51	$61.12	A	11,199	I	Serves as Trustee of the GSTs for the benefit of Julia R. Kuipers
Class A Common Stock^F1,F3	Sep 28, 2018	P	28	$61.84	A	11,227	I	Serves as Trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F1,F3	Sep 28, 2018	P	28	$61.84	A	11,227	I	Serves as Trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F1,F3	Sep 28, 2018	P	28	$61.84	A	11,227	I	Serves as Trustee of the GSTs for the benefit of Julia R. Kuipers
Class A Common Stock^F1,F2	Sep 28, 2018	P	1	$61.12	A	145	I	Proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Sep 28, 2018	P	1	$61.12	A	145	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Oct 1, 2018	P	1	$61.74	A	192	I	Interest in Shares held by Rankin Associates V
Class A Common Stock^F1,F4	Oct 1, 2018	P	1	$61.74	A	50	I	interest in shares held by RAVI held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1,F4	Oct 1, 2018	P	88	$61.74	A	11,315	I	Serves as Trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F1,F4	Oct 1, 2018	P	88	$61.74	A	11,315	I	Serves as Trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F1,F4	Oct 1, 2018	P	88	$61.74	A	11,315	I	Serves as Trustee of the GSTs for the benefit of Julia R. Kuipers
Class A Common Stock^F1,F4	Oct 1, 2018	P	2	$61.74	A	147	I	Proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Oct 1, 2018	P	2	$61.74	A	147	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock	Oct 1, 2018	A	447	$0.00	A	132,073	I	Reporting Person serves as Trustee of a Trust for the benefit of Claiborne R. Rankin
Class A Common Stock^F6	holding	—	—		—	35,857	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F6	holding	—	—		—	2,116	I	spouse's proportionate limited partnership interest in shares held by Rankin Associates II LP
Class A Common Stock^F6	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	—	—		—	36,890	I	proportionate limited partnership interests in shares held by Rankin Associates II, 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	—	—		—	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^F7	—	holding	—	—	—	—	—	Class A Common Stock	64,143	64,143	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	2,783	2,783	I
Class B Common Stock^F8,F7	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	26,057	26,057	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	36,890	36,890	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	123,760	123,760	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F22018-Sept-28 -Block 1 Weighted Average- Share Price represents average price between $60.55 and $61.40.
F32018-Sept-28 -Block 2 Weighted Average- Share Price represents average price between $61.58 and $62.27.
F42018-Oct-1-Weighted Average - Share Price represents average price between $61.56 and $62.40.
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.
F6Reporting Person disclaims beneficial ownership of all such shares.
F7N/A
F8proportionate limited partnership interest in shares of Rankin Associates, IV, L.P. held by the Trust for the benefit of Reporting Person, as general partner.