SEC Form 4 · accession 0001127602-18-029771

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

Thomas T Rankin

Other

Period of report

Oct 5, 2018

Accepted (ET)

Oct 9, 2018 · 3:59 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	99	$63.9844	A	147,256	I	Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. Rankin
Class A Common Stock^F1,F2	Oct 5, 2018	P	1	$61.51	A	196	I	Proportionate Interest in shares held by RAV
Class A Common Stock^F1,F3	Oct 5, 2018	P	1	$62.21	A	197	I	Proportionate Interest in shares held by RAV
Class A Common Stock^F1,F2	Oct 5, 2018	P	29	$61.51	A	11,519	I	Serves as Trustee of GSTs for the benefit of James Rankin
Class A Common Stock^F1,F2	Oct 5, 2018	P	29	$61.51	A	11,519	I	Serves as Trustee of GSTs for the benefit of Matthew Rankin
Class A Common Stock^F1,F2	Oct 5, 2018	P	29	$61.51	A	11,519	I	Serves as trustee of GSTs for the benefit of Thomas P. Rankin
Class A Common Stock^F1,F3	Oct 5, 2018	P	1	$62.21	A	52	I	Proportionate interest in shares held by RA6 held by RMI
Class A Common Stock^F1,F3	Oct 5, 2018	P	59	$62.21	A	11,578	I	Serves as Trustee of GSTs for the benefit of James Rankin
Class A Common Stock^F1,F3	Oct 5, 2018	P	59	$62.21	A	11,578	I	Serves as Trustee of GSTs for the benefit of Matthew Rankin
Class A Common Stock^F1,F3	Oct 5, 2018	P	59	$62.21	A	11,578	I	Serves as trustee of GSTs for the benefit of Thomas P. Rankin
Class A Common Stock^F1,F3	Oct 5, 2018	P	1	$62.21	A	152	I	Reporting person's proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F1,F3	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	Oct 8, 2018	P	57	$62.6372	A	147,313	I	Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. Rankin
Class A Common Stock^F1,F4	Oct 8, 2018	P	1	$63.42	A	50	I	Proportionate interest in shares held by RA5 held by RMI
Class A Common Stock^F1,F5	Oct 8, 2018	P	15	$61.49	A	11,593	I	Serves as Trustee of GSTs for the benefit of James Rankin
Class A Common Stock^F1,F5	Oct 8, 2018	P	15	$61.49	A	11,593	I	Serves as Trustee of GSTs for the benefit of Matthew Rankin
Class A Common Stock^F1,F5	Oct 8, 2018	P	15	$61.49	A	11,593	I	Serves as trustee of GSTs for the benefit of Thomas P. Rankin
Class A Common Stock^F1,F5	Oct 8, 2018	P	1	$61.49	A	153	I	Reporting person's proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F1,F5	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^F6	holding	—	—		—	3,622	I	Held by Spouse
Class A Common Stock^F6	holding	—	—		—	14,343	I	Spouses proportionate interest in shares held by RA1
Class A Common Stock^F6	holding	—	—		—	1,843	I	spouse's proportionate limited partnership interest in shares held by RA II LP
Class A Common Stock	holding	—	—		—	7	D
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest in shares of Rankin Associates IV, L.P held by the Trust
Class A Common Stock	holding	—	—		—	25,324	I	proportionate interest in shares held in RA1
Class A Common Stock	holding	—	—		—	35,872	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	65,824	I	Proportionate LP interest in shares held in RA4
Class A Common Stock	holding	—	—		—	1,975	I	Proportionate interest in shares held in 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^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	3,622	3,622	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	25,657	25,657	I
Class B Common Stock^F6,F7	—	holding	—	—	—	—	—	Class A Common Stock	1,843	1,843	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
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	7	7	D
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	45,300	45,300	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	35,872	35,872	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	145,912	145,912	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 3 Weighted Average- Share Price represents average price between $63.415 and $63.50.
F52018-Oct-8 -Block 1 Weighted Average- Share Price represents average price between $60.94 and $61.81.
F6Reporting Person disclaims beneficial ownership of all such shares.
F7N/A