SEC Form 4 · accession 0001127602-18-033954

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

Helen Rankin Butler

Other

Period of report

Nov 15, 2018

Accepted (ET)

Nov 20, 2018 · 3:15 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	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	Nov 15, 2018	G	77	$0.00	A	77	I	proportionate limited partnership interests in shares held by Rankin Associates V, L.P.
Class A Common Stock^F1	Nov 16, 2018	P	202	$63.3146	A	91,885	I	held by Trust for the benefit of Reporting Person
Class A Common Stock^F1,F2	Nov 16, 2018	P	1	$63.31	A	78	I	proportionate limited partnership interests in shares held by Rankin Associates V, L.P.
Class A Common Stock^F1,F2	Nov 16, 2018	P	2	$63.31	A	364	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Nov 16, 2018	P	2	$63.31	A	433	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1,F2	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^F1,F2	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^F1	Nov 19, 2018	P	200	$63.7977	A	92,085	I	held by Trust for the benefit of Reporting Person
Class A Common Stock^F1	Nov 19, 2018	P	2	$63.71	A	366	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1	Nov 19, 2018	P	3	$63.71	A	436	I	Spouse's proportionate interest in Rankin Associates VI
Class A Common Stock^F1	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^F1	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^F1	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	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^F3	holding	—	—		—	8,416	I	child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F3	holding	—	—		—	4,513	I	held in Trust for the benefit of Reporting Person's minor child
Class A Common Stock^F3	holding	—	—		—	8,572	I	child's proportionate limited partnership interests in shares held by Rankin Associates II, L.P
Class A Common Stock^F3	holding	—	—		—	4,357	I	held in trust for the benefit of Reporting Person's minor child
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^F3	holding	—	—		—	2,800	I	Individual Retirement Account for the benefit of the Reporting Person's spouse
Class A Common Stock^F3	holding	—	—		—	7,839	I	spouse's proportionate limited partnership interests in shares held by Rankin Associates II, LP
Class A Common Stock^F3	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^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^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	8,416	8,416	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	3,683	3,683	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	8,572	8,572	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	3,527	3,527	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	11,750	11,750	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	2,800	2,800	I
Class B Common Stock^F4	—	holding	—	—	—	—	—	Class A Common Stock	7,839	7,839	I
Class B Common Stock^F3,F4	—	holding	—	—	—	—	—	Class A Common Stock	17,262	17,262	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F22018-Nov-16-Weighted Average - Share Price represents average price between $62.90 and $63.50.
F3Reporting Person disclaims beneficial ownership of all such shares.
F4N/A