SEC Form 4/A · accession 0001127602-18-017320
YUM BRANDS INC · YUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Roger G. Eaton
Officer — CEO, KFC
Period of report
Jul 15, 2016
Accepted (ET)
May 14, 2018 · 3:39 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 15, 2016 | M | 133,856 | $37.30 | A | 163,960 | D | |
| Common StockF1 | Jul 15, 2016 | D | 88,904 | $88.50 | D | 75,056 | D | |
| Common StockF1 | Jul 15, 2016 | S | 44,952 | $88.53 | D | 30,104 | 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 | $37.30 | Jul 15, 2016 | M | 133,856 | D | Jan 24, 2013 | Jan 24, 2018 | Common Stock | 133,856 | 0 | D |
Explanation of responses
- F1Pursuant to 10b5-1 Plan