SEC Form 4 · accession 0001127602-18-033149
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
Nov 13, 2018
Accepted (ET)
Nov 15, 2018 · 3:10 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 StockF1 | Nov 13, 2018 | G | 42 | — | D | 39,380 | D | |
| Common StockF2 | Nov 14, 2018 | G | 57 | — | D | 39,323 | D | |
| Common StockF3 | Nov 14, 2018 | G | 57 | — | D | 39,266 | D | |
| Common StockF4 | Nov 15, 2018 | M | 8,342 | $20.85 | A | 47,608 | D | |
| Common StockF4 | Nov 15, 2018 | D | 1,951 | $89.18 | D | 45,657 | D | |
| Common StockF4 | Nov 15, 2018 | S | 6,391 | $88.22 | D | 39,266 | 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 RightF4,F5 | $20.85 | Nov 15, 2018 | M | 8,342 | D | Feb 5, 2010 | Feb 5, 2019 | Common Stock | 8,342 | 16,686 | D |
Explanation of responses
- F1Gift of shares
- F2Gift of Shares
- F3Gift of Shares
- F4Pursuant to 10b5-1 Plan
- F5Vesting occurs on a quarterly basis beginning one year from grant date.