SEC Form 4 · accession 0001127602-19-000116

HYSTER-YALE, INC. · HY

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

Reporting owner

David B Williams

Other

Period of report

Dec 28, 2018

Accepted (ET)

Jan 2, 2019 · 1:44 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,F2	Dec 28, 2018	P	427	$61.3602	A	99,937	I	Held by trust for the benefit of Reporting Person's Spouse
Class A Common Stock^F1,F3,F2	Dec 28, 2018	P	1	$61.09	A	91	I	Spouse's proportionate interests in shares held by Rankin Associates V
Class A Common Stock^F1,F3,F2	Dec 28, 2018	P	2	$61.09	A	447	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Dec 28, 2018	P	3	$61.09	A	532	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Dec 28, 2018	P	3	$61.09	A	531	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F3	Dec 28, 2018	P	3	$61.09	A	531	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4,F2	Dec 28, 2018	P	3	$61.63	A	450	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Dec 28, 2018	P	3	$61.63	A	535	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Dec 28, 2018	P	3	$61.63	A	534	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F4	Dec 28, 2018	P	3	$61.63	A	534	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F2	Dec 31, 2018	P	452	$61.9539	A	100,389	I	Held by trust for the benefit of Reporting Person's Spouse
Class A Common Stock^F1,F5,F2	Dec 31, 2018	P	4	$61.81	A	454	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F5	Dec 31, 2018	P	4	$61.81	A	539	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F5	Dec 31, 2018	P	4	$61.81	A	538	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F5	Dec 31, 2018	P	4	$61.81	A	538	I	Child's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F6,F2	Dec 31, 2018	P	1	$62.35	A	455	I	Spouse's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock^F1,F6	Dec 31, 2018	P	1	$62.35	A	540	I	Reporting person's proportionate interest in shares held by Rankin Associates VI
Class A Common Stock	holding	—	—		—	5,524	I	Spouse's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F2	holding	—	—		—	49,811	I	Spouse's proportionate interests in shares held by Rankin Associates I.
Class A Common Stock^F2	holding	—	—		—	11,750	I	Spouse's proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F2	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	holding	—	—		—	677	I	Child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F2	holding	—	—		—	9,945	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F2	holding	—	—		—	2,983	I	Reporting Person is Trustee of a Trust for the benefit of Reporting Person's minor child
Class A Common Stock	holding	—	—		—	677	I	Child's proportionate partnership interest shares held by AMR Associates LP
Class A Common Stock^F2	holding	—	—		—	8,570	I	Minor child's trust?s proportionate interests in shares held by Rankin Associates II.
Class A Common Stock^F2	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^F7	—	holding	—	—	—	—	—	Class A Common Stock	6,435	6,435	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	89,105	89,105	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	11,750	11,750	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	51,283	51,283	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	58,586	58,586	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	2,332	2,332	D
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	7,104	7,104	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	790	790	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	9,945	9,945	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	2,152	2,152	I
Class B Common Stock^F7	—	holding	—	—	—	—	—	Class A Common Stock	790	790	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	8,570	8,570	I
Class B Common Stock^F2,F7	—	holding	—	—	—	—	—	Class A Common Stock	3,528	3,528	I

Explanation of responses

F1Shares purchased pursuant to 10b5-1 plan
F2Reporting Person disclaims beneficial ownership of all such shares.
F32018-Dec-28 -Block 1 Weighted Average- Share Price represents average price between $60.50 and $61.49.
F42018-Dec-28 -Block 2 Weighted Average- Share Price represents average price between $61.50 and $62.09.
F52018-Dec-31 -Block 1 Weighted Average- Share Price represents average price between $61.20 and $62.19.
F62018-Dec-31 -Block 2 Weighted Average- Share Price represents average price between $62.25 and $62.45.
F7N/A