SEC Form 4 · accession 0001127602-18-031828

HYSTER-YALE, INC. · HY

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

Reporting owner

Alfred M Et Al Rankin

Officer — Chairman · Director

Period of report

Oct 31, 2018

Accepted (ET)

Nov 2, 2018 · 3:52 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 31, 2018	P	1	$61.83	A	186	I	Spouse's proportionate interest in shares held by RA VI
Class A Common Stock^F1,F3	Oct 31, 2018	P	32	$62.97	A	7,215	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA6
Class A Common Stock^F1,F3	Oct 31, 2018	P	63	$62.97	A	18,039	I	Reporting Person Serves as Trustee for GSTs for the Benefit of Helen R. Butler
Class A Common Stock^F1,F3	Oct 31, 2018	P	63	$62.97	A	18,039	I	Reporting Person Serves as Trustee for GSTs for the Benefit of Clara R. Williams
Class A Common Stock^F1,F3	Oct 31, 2018	P	1	$62.97	A	186	I	Brother's Proportionate interest in share held by Rankin Associates VI
Class A Common Stock^F1,F4	Nov 1, 2018	P	265	$61.746	A	6,673	I	Serves as trustee of trust for the benefit of Clara Rankin
Class A Common Stock^F1	Nov 1, 2018	P	529	$61.746	A	113,159	I	Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
Class A Common Stock^F1,F5	Nov 1, 2018	P	1,058	$61.746	A	47,698	I	spouse serves as Trustee of a Trust for the benefit of Victoire G. Rankin
Class A Common Stock^F1,F5	Nov 1, 2018	P	794	$61.746	A	20,040	I	Reporting person serves as Trustee of a Trust for the benefit of Bruce T. Rankin
Class A Common Stock^F1,F6	Nov 1, 2018	P	59	$60.03	A	110,959	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock^F1,F6	Nov 1, 2018	P	1	$60.03	A	225	I	Represents the proportionate interest in shares held by RA5
Class A Common Stock^F1,F7	Nov 1, 2018	P	530	$61.67	A	111,489	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock^F1,F7	Nov 1, 2018	P	1	$61.67	A	226	I	Represents the proportionate interest in shares held by RA5
Class A Common Stock^F1,F8	Nov 1, 2018	P	329	$62.18	A	111,818	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock	holding	—	—		—	175,278	I	Represents the proportionate limited partnership interest in shares held by AMR Associates LP
Class A Common Stock	holding	—	—		—	14,752	I	Held in an Individual Retirement Account for the benefit of the Reporting Person.
Class A Common Stock	holding	—	—		—	10,271	I	proportionate LP interest in shares held by RA I in qualified annuity interest trust-benefit of AMR
Class A Common Stock	holding	—	—		—	951	I	Represents the proportionate limited partnership interest in shares held by Rankin Associates II, LP
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest shares held by RAIV
Class A Common Stock	holding	—	—		—	1,087	I	Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	holding	—	—		—	189	I	Represents the proportionate interest in shares held by RAVI
Class A Common Stock	holding	—	—		—	1,975	I	proportionate LP interest in shares of RA II LP held by Rankin Management Inc as general partner
Class A Common Stock	holding	—	—		—	57	I	Proportionate Interest in shares held by RA5 held by Rankin Management Inc.
Class A Common Stock	holding	—	—		—	64	I	Proportionate Interest in shares held by RA6 held by Rankin Management Inc.
Class A Common Stock^F5	holding	—	—		—	18,625	I	Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin.
Class A Common Stock^F5	holding	—	—		—	42,666	I	proportionate LP interest in shares held by RA I LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F5	holding	—	—		—	26,119	I	proportionate LP interest in shares held by RA II LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F5	holding	—	—		—	46,182	I	Trustee of a Trust for the benefit of Bruce T Rankin, Trust's proportionate interest of RAIV
Class A Common Stock^F5	holding	—	—		—	9,600	I	Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren

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^F9	—	holding	—	—	—	—	—	Class A Common Stock	204,146	204,146	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	14,160	14,160	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	17,556	17,556	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	18,373	18,373	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	951	951	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	1,721	1,721	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F5,F9	—	holding	—	—	—	—	—	Class A Common Stock	18,625	18,625	I
Class B Common Stock^F5,F9	—	holding	—	—	—	—	—	Class A Common Stock	76,330	76,330	I
Class B Common Stock^F5,F9	—	holding	—	—	—	—	—	Class A Common Stock	26,119	26,119	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	73,166	73,166	I
Class B Common Stock^F5,F9	—	holding	—	—	—	—	—	Class A Common Stock	747	747	I
Class B Common Stock^F5,F9	—	holding	—	—	—	—	—	Class A Common Stock	9,600	9,600	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F5,F9	—	holding	—	—	—	—	—	Class A Common Stock	21,006	21,006	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F22018-Oct-31 -Block 2 Weighted Average- Share Price represents average price between $61.50 and $62.00.
F32018-Oct-31 -Block 3 Weighted Average- Share Price represents average price between $62.85 and $64.99.
F4Reporting person serves as Trust for Clara L.T. Rankin Trust
F5Reporting Person disclaims beneficial ownership of all such shares.
F62018-Nov-1 -Block 1 Weighted Average- Share Price represents average price between $60.00 and $60.05.
F72018-Nov-1 -Block 2 Weighted Average- Share Price represents average price between $61.25 and $61.96.
F82018-Nov-1 -Block 3 Weighted Average- Share Price represents average price between $62.00 and $62.97.
F9N/A