SEC Form 4 · accession 0001127602-16-061878
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger G. Eaton
Officer — CEO, KFC
Period of report
Sep 2, 2016
Accepted (ET)
Sep 6, 2016 · 2:01 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 | Sep 2, 2016 | M | 135,318 | $29.29 | A | 245,736 | D | |
| Common StockF1 | Sep 2, 2016 | D | 81,800 | $91.91 | D | 163,936 | D | |
| Common StockF1,F2 | Sep 2, 2016 | S | 53,518 | $91.72 | 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 | $29.29 | Sep 2, 2016 | M | 135,318 | D | Feb 5, 2013 | Feb 5, 2019 | Common Stock | 135,318 | 0 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan
- F2This transaction was executed in multiple trades at prices ranging from $91.52 to $91.96. 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.