SEC Form 4 · accession 0001127602-18-031966

HYSTER-YALE, INC. · HY

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

Reporting owner

Chloe O Rankin

Other

Period of report

Oct 31, 2018

Accepted (ET)

Nov 2, 2018 · 4:52 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	$61.07	A	223	I	Spouse's Interest 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 Interest in Shares held by Rankin Associates V
Class A Common Stock^F1,F2	Oct 31, 2018	P	53	$61.07	A	13,246	I	Spouse serves as trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F1,F2	Oct 31, 2018	P	53	$61.07	A	13,246	I	Spouse serves as trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F1,F2	Oct 31, 2018	P	53	$61.07	A	13,246	I	Spouse serves as trustee of GSTs for the benefit of Julia Kuipers
Class A Common Stock^F1,F2	Oct 31, 2018	P	1	$61.07	A	185	I	Spouse's proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F1,F2	Oct 31, 2018	P	1	$61.07	A	185	I	Proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Oct 31, 2018	P	23	$61.83	A	13,269	I	Spouse serves as trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F1,F4	Oct 31, 2018	P	23	$61.83	A	13,269	I	Spouse serves as trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F1,F4	Oct 31, 2018	P	23	$61.83	A	13,269	I	Spouse serves as trustee of GSTs for the benefit of Julia Kuipers
Class A Common Stock^F1,F3	Oct 31, 2018	P	41	$62.97	A	13,310	I	Spouse serves as trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F1,F3	Oct 31, 2018	P	41	$62.97	A	13,310	I	Spouse serves as trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F1,F3	Oct 31, 2018	P	41	$62.97	A	13,310	I	Spouse serves as trustee of GSTs for the benefit of Julia Kuipers
Class A Common Stock^F1,F3	Oct 31, 2018	P	1	$62.97	A	186	I	Spouse's proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F1,F3	Oct 31, 2018	P	1	$62.97	A	186	I	Proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F5	Nov 1, 2018	P	1	$61.67	A	225	I	Spouse's Interest in Shares held by Rankin Associates V
Class A Common Stock^F1,F6	Nov 1, 2018	P	1	$62.18	A	226	I	Spouse's Interest in Shares held by Rankin Associates V
Class A Common Stock^F1,F7	Nov 1, 2018	P	7	$60.03	A	13,317	I	Spouse serves as trustee of GSTs for the benefit of Chloe R. Seelbach
Class A Common Stock^F1,F7	Nov 1, 2018	P	7	$60.03	A	13,317	I	Spouse serves as trustee of GSTs for the benefit of Claiborne Rankin Jr.
Class A Common Stock^F1,F7	Nov 1, 2018	P	7	$60.03	A	13,317	I	Spouse serves as trustee of GSTs for the benefit of Julia Kuipers
Class A Common Stock	holding	—	—		—	35,857	I	proportionate LP interest in shares held by RA1
Class A Common Stock	holding	—	—		—	2,116	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	2,283	I	serves as Trustee of a Trust for the benefit of Chloe O. Rankin
Class A Common Stock^F8	holding	—	—		—	19	I	spouses proportionate GP interest in shares of RA IV
Class A Common Stock^F8	holding	—	—		—	14,567	I	spouse proportionate limited partnership interest in shares held by RA I LP
Class A Common Stock^F8	holding	—	—		—	36,890	I	spouse's proportionate interest in shares held by RAII
Class A Common Stock^F8	holding	—	—		—	65,824	I	proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock^F8	holding	—	—		—	1,975	I	spouse's proportionate interest in shares held by Rankin Management, Inc. ("RMI)
Class A Common Stock	holding	—	—		—	56	I	Spouse's interest in shares held by RA5 held by Rankin Management
Class A Common Stock^F8	holding	—	—		—	132,073	I	spouse serves as Trustee of a Trust for the benefit of Claiborne R. 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^F9	—	holding	—	—	—	—	—	Class A Common Stock	64,143	64,143	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	2,116	2,116	I
Class B Common Stock^F9	—	holding	—	—	—	—	—	Class A Common Stock	2,783	2,783	I
Class B Common Stock^F8,F9	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F8,F9	—	holding	—	—	—	—	—	Class A Common Stock	26,057	26,057	I
Class B Common Stock^F8,F9	—	holding	—	—	—	—	—	Class A Common Stock	36,890	36,890	I
Class B Common Stock^F8,F9	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F8,F9	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F8,F9	—	holding	—	—	—	—	—	Class A Common Stock	123,760	123,760	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^F9	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	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.
F42018-Oct-31 -Block 2 Weighted Average- Share Price represents average price between $61.50 and $62.00.
F52018-Nov-1 -Block 2 Weighted Average- Share Price represents average price between $61.25 and $61.96.
F62018-Nov-1 -Block 3 Weighted Average- Share Price represents average price between $62.00 and $62.97.
F72018-Nov-1 -Block 1 Weighted Average- Share Price represents average price between $60.00 and $60.05.
F8Reporting Person disclaims beneficial ownership of all such shares.
F9N/A