SEC Form 4 · accession 0001127602-15-032222
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
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 8:32 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 | Nov 20, 2015 | M | 62,158 | $24.4675 | A | 164,234 | D | |
| Common StockF1 | Nov 20, 2015 | D | 20,845 | $72.96 | D | 143,389 | D | |
| Common StockF2,F1 | Nov 20, 2015 | S | 41,313 | $72.5797 | D | 102,076 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF1 | $24.4675 | Nov 20, 2015 | M | 62,158 | D | Jan 26, 2010 | Jan 26, 2016 | Common Stock | 62,158 | 62,158 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan
- F2This transaction was executed in multiple trades at prices ranging from $72.34 to $72.82. 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.