SEC Form 4 · accession 0001127602-16-058539
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Eric Russell
Officer — Vice President, Controller
Period of report
Jul 22, 2016
Accepted (ET)
Jul 25, 2016 · 5:20 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 22, 2016 | M | 5,816 | $29.61 | A | 14,428 | D | |
| Common StockF1 | Jul 22, 2016 | D | 3,292 | $90.00 | D | 11,136 | D | |
| Common StockF1 | Jul 22, 2016 | S | 2,524 | $90.00 | D | 8,612 | D | |
| Common StockF1 | Jul 22, 2016 | M | 8,032 | $37.30 | A | 16,644 | D | |
| Common StockF1 | Jul 22, 2016 | D | 5,343 | $90.00 | D | 11,301 | D | |
| Common StockF1 | Jul 22, 2016 | S | 2,689 | $90.00 | D | 8,612 | D | |
| Common Stock | holding | — | — | — | 920 | I | 401(k) Holdings |
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 | Jul 22, 2016 | M | 5,816 | D | Jan 19, 2008 | Jan 19, 2017 | Common Stock | 5,816 | 0 | D |
| Stock Appreciation RightF1 | $37.30 | Jul 22, 2016 | M | 8,032 | D | Jan 24, 2009 | Jan 24, 2018 | Common Stock | 8,032 | 0 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan