SEC Form 4 · accession 0001127602-15-006436
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan David Blum
Officer — SVP and Chief Public Affairs
Period of report
Feb 17, 2015
Accepted (ET)
Feb 17, 2015 · 5:06 pm 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 | Feb 17, 2015 | M | 1,394 | $32.98 | A | 23,525 | D | |
| Common StockF1 | Feb 17, 2015 | D | 865 | $75.37 | D | 22,660 | D | |
| Common StockF1 | Feb 17, 2015 | S | 529 | $75.37 | D | 22,131 | D | |
| Common StockF1 | Feb 17, 2015 | M | 16,606 | $37.30 | A | 38,737 | D | |
| Common StockF1 | Feb 17, 2015 | D | 10,972 | $75.00 | D | 27,765 | D | |
| Common StockF1 | Feb 17, 2015 | S | 5,634 | $75.00 | D | 22,131 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF1,F2 | $32.98 | Feb 17, 2015 | M | 1,394 | D | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 1,394 | 0 | D |
| Stock Appreciation RightF1 | $37.30 | Feb 17, 2015 | M | 16,606 | D | Jan 24, 2012 | Jan 24, 2018 | Common Stock | 16,606 | 63,708 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan
- F2Vesting occurs 25% per year beginning 02/05/2011.