SEC Form 4 · accession 0001127602-18-033907

HYSTER-YALE, INC. · HY

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

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

David B Williams

Other

Period of report

Nov 15, 2018

Accepted (ET)

Nov 20, 2018 · 2:40 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	Nov 15, 2018	G	398	$0.00	A	5,524	I	Spouse's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock	Nov 15, 2018	G	398	$0.00	A	677	I	Child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock	Nov 15, 2018	G	398	$0.00	A	677	I	Child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F1	Nov 15, 2018	G	78	$0.00	A	78	I	Spouse's proportionate interests in shares held by Rankin Associates V
Class A Common Stock^F2,F1	Nov 16, 2018	P	202	$63.3146	A	91,885	I	Held by trust for the benefit of Reporting Person's Spouse
Class A Common Stock^F2,F3,F1	Nov 16, 2018	P	1	$63.31	A	79	I	Spouse's proportionate interests in shares held by Rankin Associates V
Class A Common Stock^F2,F3,F1	Nov 16, 2018	P	2	$63.31	A	364	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2,F3	Nov 16, 2018	P	2	$63.31	A	433	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2,F3	Nov 16, 2018	P	3	$63.31	A	432	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2,F3	Nov 16, 2018	P	3	$63.31	A	432	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2,F1	Nov 19, 2018	P	200	$63.7977	A	92,085	I	Held by trust for the benefit of Reporting Person's Spouse
Class A Common Stock^F2,F1	Nov 19, 2018	P	2	$63.71	A	366	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2	Nov 19, 2018	P	3	$63.71	A	436	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2	Nov 19, 2018	P	2	$63.71	A	434	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2	Nov 19, 2018	P	2	$63.71	A	434	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2	Nov 19, 2018	P	1	$65.00	A	435	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F2	Nov 19, 2018	P	1	$65.00	A	435	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1	holding	—	—		—	49,811	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F1	holding	—	—		—	11,750	I	Spouse's proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F1	holding	—	—		—	32,369	I	Spouse's proportionate interests in shares held by Rankin Associates IV.
Class A Common Stock	holding	—	—		—	3,162	D
Class A Common Stock	holding	—	—		—	7,104	I	proportionate LP interest in shares held by RA II, L.P
Class A Common Stock^F1	holding	—	—		—	9,945	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F1	holding	—	—		—	2,983	I	Reporting Person is Trustee of a Trust for the benefit of Reporting Person's minor child
Class A Common Stock^F1	holding	—	—		—	8,570	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F1	holding	—	—		—	4,357	I	Reporting Person is Trustee of a Trust for the benefit of Reporting Person's minor child

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^F4	—	Nov 15, 2018	G	463	A	—	—	Class A Common Stock	463	6,435	I
Class B Common Stock^F4	—	Nov 15, 2018	G	464	A	—	—	Class A Common Stock	464	790	I
Class B Common Stock^F4	—	Nov 15, 2018	G	464	A	—	—	Class A Common Stock	464	790	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	11,750	11,750	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	2,332	2,332	D
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	7,104	7,104	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	9,945	9,945	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	2,152	2,152	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	8,570	8,570	I
Class B Common Stock^F1,F4	—	holding	—	—	—	—	—	Class A Common Stock	3,528	3,528	I

Explanation of responses

F1Reporting Person disclaims beneficial ownership of all such shares.
F2Shares purchased pursuant to 10b5-1 plan
F32018-Nov-16-Weighted Average - Share Price represents average price between $62.90 and $63.50.
F4N/A