SEC Form 4 · accession 0001127602-18-029734

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

Helen Rankin Butler

Other

Period of report

Oct 5, 2018

Accepted (ET)

Oct 9, 2018 · 3:34 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	Oct 5, 2018	P	297	$63.9844	A	83,822	I	held by Trust for the benefit of Reporting Person
Class A Common Stock^F1,F2	Oct 5, 2018	P	1	$61.51	A	151	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Oct 5, 2018	P	1	$61.51	A	151	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F3	Oct 5, 2018	P	1	$62.21	A	152	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Oct 5, 2018	P	1	$62.21	A	152	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F3	Oct 5, 2018	P	2	$62.21	A	152	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Oct 5, 2018	P	2	$62.21	A	152	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1	Oct 8, 2018	P	170	$62.6372	A	83,992	I	held by Trust for the benefit of Reporting Person
Class A Common Stock^F1,F4	Oct 8, 2018	P	1	$62.17	A	153	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Oct 8, 2018	P	1	$62.17	A	153	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F5	Oct 8, 2018	P	1	$63.42	A	153	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F5	Oct 8, 2018	P	1	$63.42	A	153	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock	holding	—	—		—	279	I	Child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F6	holding	—	—		—	8,211	I	child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F6	holding	—	—		—	4,513	I	held in Trust for the benefit of Reporting Person's minor child
Class A Common Stock	holding	—	—		—	279	I	Child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F6	holding	—	—		—	8,367	I	child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F6	holding	—	—		—	4,357	I	held in trust for the benefit of Reporting Person's minor child
Class A Common Stock	holding	—	—		—	5,126	I	proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock	holding	—	—		—	49,811	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P.
Class A Common Stock	holding	—	—		—	12,058	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	32,369	I	proportionate limited partnership interests in shares held by Rankin Associates IV, L.P.
Class A Common Stock^F6	holding	—	—		—	2,800	I	Individual Retirement Account for the benefit of the Reporting Person's spouse
Class A Common Stock^F6	holding	—	—		—	7,634	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates II, LP
Class A Common Stock^F6	holding	—	—		—	26,313	I	spouse serves as Trustee of the J.C. Butler, Jr. Revocable Trust.

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	326	326	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	8,211	8,211	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	3,683	3,683	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	326	326	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	8,367	8,367	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	3,527	3,527	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	5,972	5,972	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	12,058	12,058	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	2,800	2,800	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	7,634	7,634	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	17,262	17,262	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F22018-Oct-5 -Block 1 Weighted Average- Share Price represents average price between $61.01 and $61.71.
F32018-Oct-5 -Block 2 Weighted Average- Share Price represents average price between $62.08 and $62.49.
F42018-Oct-8 -Block 2 Weighted Average- Share Price represents average price between $61.93 and $62.25.
F52018-Oct-8 -Block 3 Weighted Average- Share Price represents average price between $63.415 and $63.50.
F6Reporting Person disclaims beneficial ownership of all such shares.
F7N/A