SEC Form 4 · accession 0001127602-16-058530

YUM BRANDS INC · YUM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO China

Period of report

Jul 22, 2016

Accepted (ET)

Jul 25, 2016 · 4:57 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 Stock^F1	Jul 22, 2016	M	49,844	$29.61	A	62,660	D
Common Stock^F1	Jul 22, 2016	D	16,399	$90.00	D	46,261	D
Common Stock^F1,F2	Jul 22, 2016	S	33,445	$89.94	D	12,816	D
Common Stock^F1	Jul 22, 2016	M	98,682	$37.30	A	111,498	D
Common Stock^F1	Jul 22, 2016	D	40,899	$90.00	D	70,599	D
Common Stock^F1,F3	Jul 22, 2016	S	57,783	$89.9416	D	12,816	D
Common Stock	holding	—	—		—	1,993	I	By 401(k) Account

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Right^F1	$29.61	Jul 22, 2016	M	49,844	D	Jan 19, 2011	Jan 19, 2017	Common Stock	49,844	0	D
Stock Appreciation Right^F1	$37.30	Jul 22, 2016	M	98,682	D	Jan 24, 2013	Jan 24, 2018	Common Stock	98,682	35,174	D

F1Pursuant to 10b5-1 Plan
F2This transaction was executed in multiple trades at prices ranging from $89.93 to $90.02. 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.
F3This transaction was executed in multiple trades at prices ranging from $89.93 to $90.02. 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.