SEC Form 4 · accession 0001127602-17-023272
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian R Niccol
Officer — CEO, Taco Bell
Period of report
Jul 3, 2017
Accepted (ET)
Jul 6, 2017 · 5:11 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 3, 2017 | M | 5,040 | $28.22 | A | 6,719 | D | |
| Common StockF1 | Jul 3, 2017 | D | 3,553 | $73.70 | D | 3,166 | D | |
| Common StockF1 | Jul 3, 2017 | S | 1,487 | $73.82 | D | 1,679 | D | |
| Common Stock | holding | — | — | — | 4,969 | I | By 401(k) Plan |
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 | $28.22 | Jul 3, 2017 | M | 5,040 | D | May 20, 2015 | Feb 5, 2020 | Common Stock | 5,040 | 0 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan