SEC Form 4 · accession 0001127602-16-058045
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
Roger G. Eaton
Officer — CEO, KFC
Period of report
Jul 15, 2016
Accepted (ET)
Jul 15, 2016 · 1:16 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 | Jul 15, 2016 | M | 133,856 | $37.30 | A | 244,274 | D | |
| Common StockF1 | Jul 15, 2016 | D | 88,904 | $88.50 | D | 155,370 | D | |
| Common StockF1 | Jul 15, 2016 | S | 44,952 | $88.53 | D | 110,418 | 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 | $37.30 | Jul 15, 2016 | M | 133,856 | D | Jan 24, 2013 | Jan 24, 2018 | Common Stock | 133,856 | 0 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan