SEC Form 4 · accession 0001127602-15-034668
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian R Niccol
Officer — CEO, Taco Bell
Period of report
Dec 18, 2015
Accepted (ET)
Dec 21, 2015 · 12:18 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 | Dec 18, 2015 | M | 1,802 | $72.20 | A | 1,802 | D | |
| Common Stock | Dec 18, 2015 | F | 635 | $72.20 | D | 1,167 | D | |
| Common Stock | holding | — | — | — | 4,969 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2,F3 | — | Dec 18, 2015 | M | 1,802 | D | — | — | Common Stock | 1,802 | 13,892 | D |
Explanation of responses
- F1Conversion occurs on a one-for-one basis.
- F2Payments are made in accordance with elections on file.
- F3The Program does not have specified expiration dates.