SEC Form 4 · accession 0001127602-15-009017
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger G. Eaton
Officer — President KFC Global and COO
Period of report
Feb 27, 2015
Accepted (ET)
Mar 2, 2015 · 1:44 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 Stock | Feb 27, 2015 | M | 33,152 | $24.4675 | A | 59,193 | D | |
| Common Stock | Feb 27, 2015 | D | 18,993 | $79.30 | D | 40,200 | D | |
| Common StockF1 | Feb 27, 2015 | S | 14,159 | $79.328 | D | 26,041 | D | |
| Common Stock | Feb 27, 2015 | M | 20,720 | $24.4675 | A | 46,761 | D | |
| Common Stock | Feb 27, 2015 | D | 12,392 | $79.55 | D | 34,369 | D | |
| Common StockF2 | Feb 27, 2015 | S | 8,328 | $79.9086 | D | 26,041 | 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 Right | $24.4675 | Feb 27, 2015 | M | 33,152 | D | Jan 26, 2010 | Jan 26, 2016 | Common Stock | 33,152 | 0 | D |
| Stock Appreciation Right | $24.4675 | Feb 27, 2015 | M | 20,720 | D | Jan 26, 2010 | Jan 26, 2016 | Common Stock | 20,720 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $79.21 to $80.00. 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.
- F2This transaction was executed in multiple trades at prices ranging from $79.21 to $80.00. 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.