SEC Form 4 · accession 0001127602-18-031365

HYSTER-YALE, INC. · HY

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

Reporting owner

Helen Rankin Butler

Other

Period of report

Oct 29, 2018

Accepted (ET)

Oct 31, 2018 · 3:53 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 29, 2018	P	397	$61.6239	A	88,888	I	held by Trust for the benefit of Reporting Person
Class A Common Stock^F1,F2	Oct 29, 2018	P	2	$61.53	A	181	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Oct 29, 2018	P	2	$61.53	A	181	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F2	Oct 29, 2018	P	2	$61.53	A	181	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Oct 29, 2018	P	2	$61.53	A	181	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Oct 29, 2018	P	1	$61.91	A	182	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Oct 29, 2018	P	1	$61.91	A	182	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1	Oct 30, 2018	P	397	$61.7641	A	89,285	I	held by Trust for the benefit of Reporting Person
Class A Common Stock^F1,F4	Oct 30, 2018	P	1	$60.97	A	183	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Oct 30, 2018	P	1	$60.97	A	183	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F4	Oct 30, 2018	P	1	$60.97	A	182	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Oct 30, 2018	P	1	$60.97	A	182	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F5	Oct 30, 2018	P	1	$62.46	A	184	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F5	Oct 30, 2018	P	1	$62.46	A	184	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F5	Oct 30, 2018	P	1	$62.46	A	183	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F5	Oct 30, 2018	P	1	$62.46	A	183	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-29 -Block 1 Weighted Average- Share Price represents average price between $60.86 and $61.82.
F32018-Oct-29 -Block 2 Weighted Average- Share Price represents average price between $61.89 and $62.00.
F42018-Oct-30 -Block 1 Weighted Average- Share Price represents average price between $60.63 and $61.00.
F52018-Oct-30 -Block 2 Weighted Average- Share Price represents average price between $62.25 and $62.49.
F6Reporting Person disclaims beneficial ownership of all such shares.
F7N/A