SEC Form 4 · accession 0001127602-17-017854
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David W Gibbs
Officer — President, CFO
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 12:13 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 | May 10, 2017 | M | 6,210 | $24.32 | A | 39,181 | D | |
| Common StockF1 | May 10, 2017 | D | 2,194 | $68.85 | D | 36,987 | D | |
| Common StockF1 | May 10, 2017 | S | 4,016 | $68.8055 | D | 32,971 | D | |
| Common StockF1 | May 10, 2017 | M | 6,693 | $26.56 | A | 39,664 | D | |
| Common StockF1 | May 10, 2017 | D | 2,584 | $68.82 | D | 37,080 | D | |
| Common StockF1 | May 10, 2017 | S | 4,109 | $68.8629 | D | 32,971 | 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 | $24.32 | May 10, 2017 | M | 6,210 | D | Sep 20, 2011 | Sep 20, 2017 | Common Stock | 6,210 | 6,044 | D |
| Stock Appreciation RightF1,F2 | $26.56 | May 10, 2017 | M | 6,693 | D | Jan 24, 2009 | Jan 24, 2018 | Common Stock | 6,693 | 13,118 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan
- F2Vesting occurs on a quarterly basis beginning one year from grant date.