SEC Form 4 · accession 0001127602-18-033919

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

Alfred M Et Al Rankin

Officer — Chairman · Director

Period of report

Nov 15, 2018

Accepted (ET)

Nov 20, 2018 · 2:49 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	2,388	$0.00	D	172,890	I	Represents the proportionate limited partnership interest in shares held by AMR Associates LP
Class A Common Stock	Nov 15, 2018	G	75,485	$0.00	D	97,405	I	Represents the proportionate limited partnership interest in shares held by AMR Associates LP
Class A Common Stock	Nov 15, 2018	G	75,485	$0.00	A	94,411	I	Reporting Person Serves as Trustee for GSTs for the Benefit of Clara R. Williams
Class A Common Stock	Nov 15, 2018	G	75,485	$0.00	D	21,920	I	Represents the proportionate limited partnership interest in shares held by AMR Associates LP
Class A Common Stock	Nov 15, 2018	G	75,485	$0.00	A	94,411	I	Reporting Person Serves as Trustee for GSTs for the Benefit of Helen R. Butler
Class A Common Stock	Nov 15, 2018	G	103,061	$0.00	D	12,461	I	Serves as Trustee of Trust fbo Clara Rankin representing interest in shares held by RA5
Class A Common Stock	Nov 15, 2018	G	266	$0.00	A	499	I	Represents the proportionate interest in shares held by RA5
Class A Common Stock	Nov 15, 2018	G	12,652	$0.00	A	107,063	I	Reporting Person Serves as Trustee for GSTs for the Benefit of Helen R. Butler
Class A Common Stock	Nov 15, 2018	G	12,652	$0.00	A	107,063	I	Reporting Person Serves as Trustee for GSTs for the Benefit of Clara R. Williams
Class A Common Stock	holding	—	—		—	14,752	I	Held in an Individual Retirement Account for the benefit of the Reporting Person.
Class A Common Stock	holding	—	—		—	115,834	I	Reporting Person serves as Trustee of a Trust for the benefit of the Alfred M. Rankin, Jr.
Class A Common Stock	holding	—	—		—	10,271	I	proportionate LP interest in shares held by RA I in qualified annuity interest trust-benefit of AMR
Class A Common Stock	holding	—	—		—	541	I	Represents the proportionate limited partnership interest in shares held by Rankin Associates II, LP
Class A Common Stock	holding	—	—		—	19	I	proportionate general partnership interest shares held by RAIV
Class A Common Stock	holding	—	—		—	1,087	I	Proportionate limited partnership interest in shares held by Rankin Associates IV, L.P
Class A Common Stock	holding	—	—		—	200	I	Represents the proportionate interest in shares held by RAVI
Class A Common Stock	holding	—	—		—	1,975	I	proportionate LP interest in shares of RA II LP held by Rankin Management Inc as general partner
Class A Common Stock	holding	—	—		—	59	I	Proportionate Interest in shares held by RA5 held by Rankin Management Inc.
Class A Common Stock	holding	—	—		—	68	I	Proportionate Interest in shares held by RA6 held by Rankin Management Inc.
Class A Common Stock^F1	holding	—	—		—	18,625	I	Reporting Person serves as Trustee of Trusts for the benefit of the Estate of Alfred M. Rankin.
Class A Common Stock^F1	holding	—	—		—	42,666	I	proportionate LP interest in shares held by RA I LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F1	holding	—	—		—	25,099	I	proportionate LP interest in shares held by RA II LP held in trust for benefit of Bruce Rankin
Class A Common Stock^F1	holding	—	—		—	46,182	I	Trustee of a Trust for the benefit of Bruce T Rankin, Trust's proportionate interest of RAIV
Class A Common Stock	holding	—	—		—	436	I	Brother's Proportionate interest in share held by Rankin Associates VI
Class A Common Stock^F1	holding	—	—		—	24,049	I	Reporting person serves as Trustee of a Trust for the benefit of Bruce T. Rankin
Class A Common Stock^F2	holding	—	—		—	8,008	I	Serves as trustee of trust for the benefit of Clara Rankin
Class A Common Stock^F1	holding	—	—		—	9,600	I	Reporting Person serves as Trustee of Trusts for the benefit of each of grantor's grandchildren
Class A Common Stock	holding	—	—		—	435	I	Spouse's proportionate interest in shares held by RA VI
Class A Common Stock^F1	holding	—	—		—	53,047	I	spouse serves as Trustee of a Trust for the benefit of Victoire G. 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^F3	—	Nov 15, 2018	G	2,782	D	—	—	Class A Common Stock	2,782	201,364	I
Class B Common Stock^F3	—	Nov 15, 2018	G	87,920	D	—	—	Class A Common Stock	87,920	113,444	I
Class B Common Stock^F3	—	Nov 15, 2018	G	87,920	A	—	—	Class A Common Stock	87,920	94,809	I
Class B Common Stock^F3	—	Nov 15, 2018	G	87,920	D	—	—	Class A Common Stock	87,920	25,524	I
Class B Common Stock^F3	—	Nov 15, 2018	G	87,920	A	—	—	Class A Common Stock	87,920	94,809	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	14,160	14,160	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	17,556	17,556	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	18,373	18,373	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	541	541	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	31	31	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	1,721	1,721	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	1,975	1,975	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	18,625	18,625	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	76,330	76,330	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	25,099	25,099	I
Class B Common Stock^F3	—	holding	—	—	—	—	—	Class A Common Stock	73,166	73,166	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	747	747	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	9,600	9,600	I
Class B Common Stock^F1,F3	—	holding	—	—	—	—	—	Class A Common Stock	21,006	21,006	I

Explanation of responses

F1Reporting Person disclaims beneficial ownership of all such shares.
F2Reporting person serves as Trust for Clara L.T. Rankin Trust
F3N/A