SEC Form 4 · accession 0001127602-18-029741

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

David B Williams

Other

Period of report

Oct 5, 2018

Accepted (ET)

Oct 9, 2018 · 3:39 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	Oct 5, 2018	P	297	$63.9844	A	83,822	I	Held by trust for the benefit of Reporting Person's Spouse
Class A Common Stock^F1,F3	Oct 5, 2018	P	1	$61.51	A	151	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	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,F4	Oct 5, 2018	P	1	$62.21	A	152	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	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,F4	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,F4	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,F2	Oct 8, 2018	P	170	$62.6372	A	83,992	I	Held by trust for the benefit of Reporting Person's Spouse
Class A Common Stock^F1,F5	Oct 8, 2018	P	1	$62.17	A	153	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F6	Oct 8, 2018	P	1	$63.42	A	153	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F6	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,F6	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	—	—		—	5,126	I	Spouse's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F2	holding	—	—		—	49,811	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F2	holding	—	—		—	12,058	I	Spouse's proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F2	holding	—	—		—	32,369	I	Spouse's proportionate interests in shares held by Rankin Associates IV.
Class A Common Stock	holding	—	—		—	3,162	D
Class A Common Stock	holding	—	—		—	6,899	I	proportionate LP interest in shares held by RA II, L.P
Class A Common Stock	holding	—	—		—	279	I	Child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F2	holding	—	—		—	9,740	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F2	holding	—	—		—	2,983	I	Reporting Person is Trustee of a 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^F2	holding	—	—		—	8,365	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F2	holding	—	—		—	4,357	I	Reporting Person is Trustee of a Trust for the benefit of Reporting Person's minor child

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	5,972	5,972	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	12,058	12,058	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	2,332	2,332	D
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	6,899	6,899	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	326	326	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	9,740	9,740	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	2,152	2,152	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	326	326	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	8,365	8,365	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	3,528	3,528	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F2Reporting Person disclaims beneficial ownership of all such shares.
F32018-Oct-5 -Block 1 Weighted Average- Share Price represents average price between $61.01 and $61.71.
F42018-Oct-5 -Block 2 Weighted Average- Share Price represents average price between $62.08 and $62.49.
F52018-Oct-8 -Block 2 Weighted Average- Share Price represents average price between $61.93 and $62.25.
F62018-Oct-8 -Block 3 Weighted Average- Share Price represents average price between $63.415 and $63.50.
F7N/A