SEC Form 4 · accession 0001127602-16-048305
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger G. Eaton
Officer — President KFC Global and COO
Period of report
Apr 1, 2016
Accepted (ET)
Apr 4, 2016 · 2:14 pm EDT
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 | Apr 1, 2016 | M | 28,971 | $29.61 | A | 59,075 | D | |
| Common StockF1 | Apr 1, 2016 | D | 10,397 | $82.51 | D | 48,678 | D | |
| Common StockF1,F2 | Apr 1, 2016 | S | 18,574 | $82.6462 | D | 30,104 | D |
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 | $29.61 | Apr 1, 2016 | M | 28,971 | D | Jan 19, 2011 | Jan 19, 2017 | Common Stock | 28,971 | 0 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan
- F2This transaction was executed in multiple trades at prices ranging from $82.50 to $82.77. 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.