SEC Form 4 · accession 0001127602-18-029747

HYSTER-YALE, INC. · HY

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

Reporting owner

Roger F Rankin

Other

Period of report

Oct 8, 2018

Accepted (ET)

Oct 9, 2018 · 3:43 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 8, 2018	P	57	$62.6372	A	4,432	I	spouse serves as Trustee of a Trust for the benefit of Alison Rankin
Class A Common Stock^F1,F3	Oct 8, 2018	P	1	$62.17	A	197	I	Interest in shares held by Rankin Associates V
Class A Common Stock^F1,F4	Oct 8, 2018	P	23	$61.49	A	15,465	I	Serves as Trustee of GSTs for the benefit of A. Farnham Rankin
Class A Common Stock^F1,F4	Oct 8, 2018	P	23	$61.49	A	15,465	I	Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
Class A Common Stock^F1,F4	Oct 8, 2018	P	1	$61.49	A	153	I	Proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Oct 8, 2018	P	1	$61.49	A	153	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Oct 8, 2018	P	11	$62.17	A	15,476	I	Serves as Trustee of GSTs for the benefit of A. Farnham Rankin
Class A Common Stock^F1,F3	Oct 8, 2018	P	11	$62.17	A	15,476	I	Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
Class A Common Stock^F1,F5	Oct 8, 2018	P	41	$63.42	A	15,517	I	Serves as Trustee of GSTs for the benefit of A. Farnham Rankin
Class A Common Stock^F1,F5	Oct 8, 2018	P	41	$63.42	A	15,517	I	Serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
Class A Common Stock^F1,F5,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,F5,F7	Oct 8, 2018	P	1	$63.42	A	153	I	Child's Proportionate interest of shares held by Rankin Associates VI
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	—	—		—	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	—	—		—	20,119	I	daughter's proportionate LP interest in shares held by RA II LP held in a trust
Class A Common Stock^F2	holding	—	—		—	1,851	I	Spouse is Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock	holding	—	—		—	1,209	I	Reporting Person Serves as Trustee for the benefit of A. Farnham Rankin
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^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	—	—		—	4,693	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	—	—		—	49	I	Interest in shares of Rankin Associates V held by Rankin Management
Class A Common Stock	holding	—	—		—	51	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^F8	—	holding	—	—	—	—	—	Class A Common Stock	444	444	I
Class B Common Stock^F2,F8	—	holding	—	—	—	—	—	Class A Common Stock	96,861	96,861	I
Class B Common Stock^F2,F8	—	holding	—	—	—	—	—	Class A Common Stock	29,986	29,986	I
Class B Common Stock^F2,F8	—	holding	—	—	—	—	—	Class A Common Stock	3,123	3,123	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	200	200	I
Class B Common Stock^F2,F8	—	holding	—	—	—	—	—	Class A Common Stock	20,119	20,119	I
Class B Common Stock^F2,F8	—	holding	—	—	—	—	—	Class A Common Stock	1,851	1,851	I
Class B Common Stock^F2,F8	—	holding	—	—	—	—	—	Class A Common Stock	17,987	17,987	I
Class B Common Stock^F2,F8	—	holding	—	—	—	—	—	Class A Common Stock	3,738	3,738	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	6,168	6,168	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	4,693	4,693	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	193,760	193,760	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F2Reporting Person disclaims beneficial ownership of all such shares.
F32018-Oct-8 -Block 2 Weighted Average- Share Price represents average price between $61.93 and $62.25.
F42018-Oct-8 -Block 1 Weighted Average- Share Price represents average price between $60.94 and $61.81.
F52018-Oct-8 -Block 3 Weighted Average- Share Price represents average price between $63.415 and $63.50.
F6Interest held by Trust u/a/d 8/15/2012
F7Held in trust u/a/d 12/30/2015
F8N/A