SEC Form 4 · accession 0001127602-18-031882

HYSTER-YALE, INC. · HY

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

Reporting owner

Alison A Rankin

Other

Period of report

Oct 31, 2018

Accepted (ET)

Nov 2, 2018 · 4:18 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 31, 2018	P	132	$61.892	A	6,326	I	Reporting Person serves as Trustee of a Trust for the benefit of Alison Rankin
Class A Common Stock^F1,F2	Oct 31, 2018	P	1	$61.07	A	56	I	spouse's interest in shares of Rankin Associates V held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F1,F2	Oct 31, 2018	P	1	$61.07	A	223	I	Spouse's proportionate interests in shares held by Rankin Associates V
Class A Common Stock^F1,F3	Oct 31, 2018	P	1	$62.97	A	224	I	Spouse's proportionate interests in shares held by Rankin Associates V
Class A Common Stock^F1,F2	Oct 31, 2018	P	79	$61.07	A	17,943	I	Spouse serves as Trustee of GSTs for the benefit of A. Farnham Rankin
Class A Common Stock^F1,F2	Oct 31, 2018	P	79	$61.07	A	17,943	I	Spouse serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
Class A Common Stock^F1,F2	Oct 31, 2018	P	2	$61.07	A	185	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Oct 31, 2018	P	2	$61.07	A	185	I	Proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F1,F2,F4	Oct 31, 2018	P	1	$61.07	A	184	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2,F5	Oct 31, 2018	P	1	$61.07	A	184	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F6	Oct 31, 2018	P	34	$61.83	A	17,977	I	Spouse serves as Trustee of GSTs for the benefit of A. Farnham Rankin
Class A Common Stock^F1,F6	Oct 31, 2018	P	34	$61.83	A	17,977	I	Spouse serves as Trustee of GSTs for the benefit of Elisabeth M. Rankin
Class A Common Stock^F1,F6,F4	Oct 31, 2018	P	1	$61.83	A	185	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F6,F5	Oct 31, 2018	P	1	$61.83	A	185	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F7	holding	—	—		—	54,147	I	proportionate limited partnership interest in shares held by Rankin Associates I, L.P
Class A Common Stock	holding	—	—		—	29,986	I	Reporting Person?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock	holding	—	—		—	200	I	Reporting person's spouse 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^F7	holding	—	—		—	20,119	I	Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F7	holding	—	—		—	1,851	I	Co-Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock	holding	—	—		—	1,209	I	Spouse serves as Trustee for the benefit of A. Farnham Rankin
Class A Common Stock^F7	holding	—	—		—	17,987	I	Minor child?s trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F7	holding	—	—		—	3,738	I	Co-Trustee for the benefit of Reporting Person's daughter.
Class A Common Stock^F7	holding	—	—		—	19	I	Spouse's proportionate general partnership interest shares held by RAIV.
Class A Common Stock^F7	holding	—	—		—	3,448	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F7	holding	—	—		—	4,693	I	spouse's proportionate limited partnership interest in shares held by RA II, L.P
Class A Common Stock^F7	holding	—	—		—	65,824	I	Spouse's proportionate interests in shares held by Rankin Associates IV.
Class A Common Stock^F7	holding	—	—		—	1,975	I	spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI").
Class A Common Stock	holding	—	—		—	64	I	spouse's interest in shares of Rankin Associates VI held by Rankin Management, Inc. ("RMI")
Class A Common Stock^F7	holding	—	—		—	192,662	I	spouse 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	96,861	96,861	I
Class B Common Stock^F8	—	holding	—	—	—	—	—	Class A Common Stock	29,986	29,986	I
Class B Common Stock^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^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	20,119	20,119	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	1,851	1,851	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	444	444	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	17,987	17,987	I
Class B Common Stock^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^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	6,168	6,168	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	4,693	4,693	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F7,F8	—	holding	—	—	—	—	—	Class A Common Stock	193,760	193,760	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F22018-Oct-31 -Block 1 Weighted Average- Share Price represents average price between $60.50 and $61.34.
F32018-Oct-31 -Block 3 Weighted Average- Share Price represents average price between $62.85 and $64.99.
F4held in trust u/a/d 8/15/2012
F5held in trust u/a/d 12/30/2015
F62018-Oct-31 -Block 2 Weighted Average- Share Price represents average price between $61.50 and $62.00.
F7Reporting Person disclaims beneficial ownership of all such shares.
F8N/A