SEC Form 4 · accession 0001127602-18-033372

HYSTER-YALE, INC. · HY

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

Reporting owner

Thomas T Rankin

Other

Period of report

Nov 14, 2018

Accepted (ET)

Nov 16, 2018 · 3:20 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	67	$62.9331	A	149,739	I	Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. Rankin
Class A Common Stock^F1,F2	Nov 14, 2018	P	1	$62.93	A	231	I	Proportionate Interest in shares held by RAV
Class A Common Stock^F1,F2	Nov 14, 2018	P	1	$62.93	A	67	I	Proportionate interest in shares held by RA6 held by RMI
Class A Common Stock^F1,F2	Nov 14, 2018	P	60	$62.93	A	13,782	I	Serves as Trustee of GSTs for the benefit of James Rankin
Class A Common Stock^F1,F2	Nov 14, 2018	P	60	$62.93	A	13,782	I	Serves as Trustee of GSTs for the benefit of Matthew Rankin
Class A Common Stock^F1,F2	Nov 14, 2018	P	60	$62.93	A	13,782	I	Serves as trustee of GSTs for the benefit of Thomas P. Rankin
Class A Common Stock^F1,F2	Nov 14, 2018	P	1	$62.93	A	197	I	Reporting person's proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F1,F2	Nov 14, 2018	P	3	$62.93	A	426	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1	Nov 15, 2018	P	134	$62.0836	A	149,873	I	Reporting Person serves as Trustee of a Trust for the benefit of Thomas T. Rankin
Class A Common Stock^F1,F3	Nov 15, 2018	P	1	$61.87	A	232	I	Proportionate Interest in shares held by RAV
Class A Common Stock^F1,F4	Nov 15, 2018	P	1	$62.24	A	59	I	Proportionate interest in shares held by RA5 held by RMI
Class A Common Stock^F1,F4	Nov 15, 2018	P	1	$62.24	A	233	I	Proportionate Interest in shares held by RAV
Class A Common Stock^F1,F3	Nov 15, 2018	P	50	$61.87	A	13,832	I	Serves as Trustee of GSTs for the benefit of James Rankin
Class A Common Stock^F1,F3	Nov 15, 2018	P	50	$61.87	A	13,832	I	Serves as Trustee of GSTs for the benefit of Matthew Rankin
Class A Common Stock^F1,F3	Nov 15, 2018	P	50	$61.87	A	13,832	I	Serves as trustee of GSTs for the benefit of Thomas P. Rankin
Class A Common Stock^F1,F3	Nov 15, 2018	P	1	$61.87	A	198	I	Reporting person's proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F1,F3	Nov 15, 2018	P	2	$61.87	A	428	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Nov 15, 2018	P	1	$62.24	A	68	I	Proportionate interest in shares held by RA6 held by RMI
Class A Common Stock^F1,F4	Nov 15, 2018	P	1	$62.24	A	199	I	Reporting person's proportionate interest in shares held in Rankin Associates VI
Class A Common Stock^F1,F4	Nov 15, 2018	P	3	$62.24	A	431	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F5	holding	—	—		—	3,622	I	Held by Spouse
Class A Common Stock^F5	holding	—	—		—	14,343	I	Spouses proportionate interest in shares held by RA1
Class A Common Stock^F5	holding	—	—		—	1,843	I	spouse's proportionate limited partnership interest in shares held by RA II LP
Class A Common Stock	holding	—	—		—	7	D
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest in shares of Rankin Associates IV, L.P held by the Trust
Class A Common Stock	holding	—	—		—	25,324	I	proportionate interest in shares held in RA1
Class A Common Stock	holding	—	—		—	34,849	I	proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock	holding	—	—		—	65,824	I	Proportionate LP interest in shares held in RA4
Class A Common Stock	holding	—	—		—	1,975	I	Proportionate interest in shares held in RMI

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^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	3,622	3,622	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	25,657	25,657	I
Class B Common Stock^F5,F6	—	holding	—	—	—	—	—	Class A Common Stock	1,843	1,843	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	6,889	6,889	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	7	7	D
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	45,300	45,300	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	34,849	34,849	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	104,286	104,286	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F6	—	holding	—	—	—	—	—	Class A Common Stock	145,912	145,912	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