SEC Form 4 · accession 0001127602-16-040155
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jingshyh S su
Director
Period of report
Feb 5, 2016
Accepted (ET)
Feb 9, 2016 · 12:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001041061
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | $0.00 | May 1, 2015 | J | 840 | A | — | — | Common Stock | 840 | 189,028 | D |
| Restricted Stock UnitsF1 | $0.00 | Aug 7, 2015 | J | 885 | A | — | — | Common Stock | 885 | 189,912 | D |
| Restricted Stock UnitsF1 | $0.00 | Nov 6, 2015 | J | 1,226 | A | — | — | Common Stock | 1,226 | 191,138 | D |
| Phantom StockF2,F3,F4 | — | Feb 5, 2016 | A | 1,680 | A | — | — | Common Stock | 1,680 | 1,680 | D |
| Restricted Stock UnitsF1 | $0.00 | Feb 5, 2016 | J | 1,260 | A | — | — | Common Stock | 1,260 | 192,399 | D |
Explanation of responses
- F1The restricted stock units vest five years from grant date. Vested units will be delivered in shares to the reporting person twelve months following his retirement from YUM! Brands, Inc.
- F2Conversion occurs on a one-for-one basis.
- F3Payments are made in accordance with elections on file.
- F4The Program does not have specified expiration dates.