SEC Form 4 · accession 0001127602-16-066517
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert D Walter
Director
Period of report
Nov 7, 2016
Accepted (ET)
Nov 9, 2016 · 11:46 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001041061
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2,F3 | — | Nov 7, 2016 | P | 2,063 | A | — | — | Common Stock | 2,063 | 6,852 | D |
| Phantom StockF1,F2,F3 | — | Nov 7, 2016 | P | 260 | A | — | — | Common Stock | 260 | 865 | D |
| Phantom StockF1,F4,F5 | — | Nov 7, 2016 | P | 1,695 | A | — | — | Common Stock | 1,695 | 5,631 | D |
| Phantom StockF1,F6,F7 | — | Nov 7, 2016 | P | 1,475 | A | — | — | Common Stock | 1,475 | 4,898 | D |
| Phantom StockF1,F4,F3 | — | Nov 7, 2016 | P | 1,274 | A | — | — | Common Stock | 1,274 | 4,231 | D |
| Phantom StockF1,F6,F7 | — | Nov 7, 2016 | P | 1,080 | A | — | — | Common Stock | 1,080 | 3,587 | D |
| Phantom StockF1,F6,F7 | — | Nov 7, 2016 | P | 95 | A | — | — | Common Stock | 95 | 317 | D |
| Phantom StockF1,F6,F7 | — | Nov 7, 2016 | P | 1,023 | A | — | — | Common Stock | 1,023 | 3,397 | D |
| Phantom StockF1,F6,F7 | — | Nov 7, 2016 | P | 90 | A | — | — | Common Stock | 90 | 300 | D |
| Phantom StockF1,F6,F8 | — | Nov 7, 2016 | P | 1,017 | A | — | — | Common Stock | 1,017 | 3,377 | D |
| Phantom StockF1,F6,F8 | — | Nov 7, 2016 | P | 90 | A | — | — | Common Stock | 90 | 298 | D |
| Phantom StockF1,F6,F8 | — | Nov 7, 2016 | P | 1,235 | A | — | — | Common Stock | 1,235 | 4,102 | D |
| Phantom StockF1,F6,F8 | — | Nov 7, 2016 | P | 208 | A | — | — | Common Stock | 208 | 692 | D |
| Phantom StockF1,F6,F7 | — | Nov 7, 2016 | P | 308 | A | — | — | Common Stock | 308 | 1,022 | D |
Explanation of responses
- F1Conversion occurs on a one-for-one basis.
- F2Phantom Exercise Date
- F3The YUM! Brands, Inc. Executive Income Deferral Program does not have specified expiration dates.
- F4The phantom stock units are acrued under the YUM! Brands, Inc. Director Deferred Compensation Plan and will be settled in YUM! stock after directorship ceases.
- F5The Director Deferred Compensation Plan does not have specified expiration dates.
- F6Payments are made in accordance with elections on file.
- F7The Program does not have specified expiration dates.
- F8Phantom units accrued under the YUM! Brands, Inc. Director Deferred Compensation Plan do not have expiration dates.