SEC Form 4 · accession 0001127602-16-035981
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Ryan
Director
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 5:25 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 | Jan 1, 2016 | M | 4,788 | $73.05 | A | 49,962 | I | Ryan Trust |
| Common Stock | Jan 1, 2016 | M | 177 | $73.05 | A | 50,139 | I | Ryan Trust |
| Common Stock | Jan 1, 2016 | M | 349 | $73.06 | A | 50,488 | I | Ryan Trust |
| Common Stock | Jan 1, 2016 | M | 2,374 | $73.05 | A | 52,862 | I | Ryan Trust |
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 | — | Jan 1, 2016 | M | 4,788 | D | — | — | Common Stock | 4,788 | 1 | D |
| Phantom StockF1,F2,F3 | — | Jan 1, 2016 | M | 177 | D | — | — | Common Stock | 177 | 0 | D |
| Phantom StockF1,F4,F5 | — | Jan 1, 2016 | M | 349 | D | — | — | Common Stock | 349 | 0 | D |
| Phantom StockF1,F4,F6 | — | Jan 1, 2016 | M | 2,374 | D | — | — | Common Stock | 2,374 | 0 | D |
Explanation of responses
- F1Conversion occurs on a one-for-one basis.
- F2Phantom Exercise Date
- F3The YUM! Brands, Inc. Executive Income Deferral Program does not have specified expiration dates.
- F4Payments are made in accordance with elections on file.
- F5The Program does not have specified expiration dates.
- F6Phantom units accrued under the YUM! Brands, Inc. Director Deferred Compensation Plan do not have expiration dates.