SEC Form 4 · accession 0001127602-17-001224
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shella Ng
Officer — Chief Legal Officer, Corp. Sec
Period of report
Jan 4, 2017
Accepted (ET)
Jan 6, 2017 · 11:10 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001673358
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 4, 2017 | M | 4,687 | $26.62 | A | 4,687 | D | |
| Common Stock | Jan 4, 2017 | F | 597 | $26.62 | D | 4,090 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2,F3 | — | Jan 4, 2017 | M | 4,687 | D | — | — | Common Stock | 4,687 | 13,960 | D |
Explanation of responses
- F1Conversion occurs on a one-for-one basis.
- F2Vesting occurs 25% on the first two anniversaries of 1/4/2016 and the remaining 50% will vest on the third anniversary of 1/4/2016.
- F3This grant does not have an expiration date.