SEC Form 4 · accession 0001127602-16-067094
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Riu Sun
Officer — Chief Growth Officer
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 11:59 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001673358
Table I — non-derivative securities
No Table I lines on this filing.
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 | $26.98 | Nov 11, 2016 | A | 24,423 | A | — | Nov 11, 2026 | Common Stock | 24,423 | 24,423 | D |
| Restricted Stock UnitF2,F3,F4 | — | Nov 11, 2016 | A | 9,267 | A | — | — | Common Stock | 9,267 | 9,267 | D |
Explanation of responses
- F1Vesting occurs 25% per year beginning one year from grant date.
- F2Conversion occurs on a one-for-one basis.
- F3Vesting occurs 50% on the second anniversary of the grant date and the remaining 50% will vest on the third anniversary of the grant date.
- F4This grant does not have an expiration date.