SEC Form 4 · accession 0001127602-17-004324
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc L. Kesselman
Officer — Chief Legal Officer and GC
Period of report
May 6, 2016
Accepted (ET)
Feb 7, 2017 · 3:32 pm EST
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 | Feb 5, 2017 | M | 4,894 | $66.23 | A | 4,894 | D | |
| Common Stock | Feb 5, 2017 | F | 1,363 | $66.23 | D | 3,531 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | — | May 6, 2016 | J | 81 | A | — | — | Common Stock | 81 | 14,416 | D |
| Restricted Stock UnitsF1,F2,F3 | — | Aug 5, 2016 | J | 74 | A | — | — | Common Stock | 74 | 14,491 | D |
| Restricted Stock UnitsF1,F2,F3 | — | Nov 1, 2016 | J | 124 | A | — | — | Common Stock | 124 | 14,614 | D |
| Restricted Stock UnitsF1,F2,F3 | — | Feb 3, 2017 | J | 66 | A | — | — | Common Stock | 66 | 14,681 | D |
| Restricted Stock UnitsF1,F2,F3 | — | Feb 5, 2017 | M | 4,894 | D | — | — | Common Stock | 4,894 | 9,787 | D |
Explanation of responses
- F1Conversion occurs on a one-for-one basis.
- F2Vesting occurs 33% per year beginning one year from grant date.
- F3This grant does not have an expiration date.