SEC Form 4 · accession 0001127602-15-034025
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Jingshyh S su
Officer — Chair & CEO - China Division · Director
Period of report
Dec 14, 2015
Accepted (ET)
Dec 15, 2015 · 11:06 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 | Dec 14, 2015 | M | 62,158 | $24.4675 | A | 164,234 | D | |
| Common StockF1 | Dec 14, 2015 | D | 21,340 | $71.27 | D | 142,894 | D | |
| Common StockF1,F2 | Dec 14, 2015 | S | 40,818 | $71.177 | 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 | Dec 14, 2015 | M | 62,158 | D | Jan 26, 2010 | Jan 26, 2016 | Common Stock | 62,158 | 0 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan
- F2This transaction was executed in multiple trades at prices ranging from $70.53 to $71.64. 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.