SEC Form 4 · accession 0001127602-15-002687
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jingshyh S su
Officer — Chair & CEO - China Division · Director
Period of report
Jan 23, 2015
Accepted (ET)
Jan 26, 2015 · 10:18 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001041061
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 23, 2015 | M | 65,039 | $22.53 | A | 166,779 | D | |
| Common StockF1,F2 | Jan 23, 2015 | S | 65,039 | $74.4341 | D | 101,740 | D | |
| Common StockF1,F3 | Jan 23, 2015 | S | 25,000 | $74.4341 | D | 76,740 | D | |
| Common Stock | holding | — | — | — | 278,361 | I | BVI Company |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $22.53 | Jan 23, 2015 | M | 65,039 | D | Jan 28, 2006 | Jan 28, 2015 | Common Stock | 65,039 | 0 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan
- F2This transaction was executed in multiple trades at prices ranging from $74.36 to $74.555. The price reported above reflects the average price. The reporting person hereby undertakes to provide upon request, to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $74.36 to $74.555. The price reported above reflects the average price. The reporting person hereby undertakes to provide upon request, to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.