SEC Form 4 · accession 0001127602-18-033315

HYSTER-YALE, INC. · HY

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

Reporting owner

Helen Rankin Butler

Other

Period of report

Nov 14, 2018

Accepted (ET)

Nov 16, 2018 · 2:11 pm EST

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	Nov 14, 2018	P	202	$62.9331	A	91,280	I	held by Trust for the benefit of Reporting Person
Class A Common Stock^F1,F2	Nov 14, 2018	P	2	$62.93	A	358	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Nov 14, 2018	P	2	$62.93	A	425	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F2	Nov 14, 2018	P	2	$62.93	A	424	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Nov 14, 2018	P	2	$62.93	A	424	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1	Nov 15, 2018	P	403	$62.0836	A	91,683	I	held by Trust for the benefit of Reporting Person
Class A Common Stock^F1,F3	Nov 15, 2018	P	2	$61.87	A	360	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Nov 15, 2018	P	2	$61.87	A	427	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F3	Nov 15, 2018	P	2	$61.87	A	426	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Nov 15, 2018	P	2	$61.87	A	426	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Nov 15, 2018	P	2	$62.24	A	362	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Nov 15, 2018	P	4	$62.24	A	431	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F4	Nov 15, 2018	P	3	$62.24	A	429	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Nov 15, 2018	P	3	$62.24	A	429	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^F5	holding	—	—		—	8,416	I	child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F5	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^F5	holding	—	—		—	8,572	I	child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F5	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	—	—		—	11,750	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^F5	holding	—	—		—	2,800	I	Individual Retirement Account for the benefit of the Reporting Person's spouse
Class A Common Stock^F5	holding	—	—		—	7,839	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates II, LP
Class A Common Stock^F5	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^F6	—	holding	—	—	—	—	—	Class A Common Stock	326	326	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	8,416	8,416	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	3,683	3,683	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	326	326	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	8,572	8,572	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	3,527	3,527	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	5,972	5,972	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	11,750	11,750	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	2,800	2,800	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	7,839	7,839	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	17,262	17,262	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F22018-Nov-14-Weighted Average - Share Price represents average price between $62.78 and $63.00.
F32018-Nov-15 -Block 1 Weighted Average- Share Price represents average price between $61.02 and $62.00.
F42018-Nov-15 -Block 2 Weighted Average- Share Price represents average price between $62.10 and $62.45.
F5Reporting Person disclaims beneficial ownership of all such shares.
F6N/A