SEC Form 4 · accession 0001127602-17-014613
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
Apr 7, 2017
Accepted (ET)
Apr 11, 2017 · 12:42 pm EDT
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 | Apr 7, 2017 | M | 14,451 | $21.06 | A | 17,828 | D | |
| Common Stock | Apr 7, 2017 | M | 4,971 | $26.64 | A | 22,799 | D | |
| Common Stock | Apr 7, 2017 | D | 9,755 | $31.20 | D | 13,044 | D | |
| Common Stock | Apr 7, 2017 | D | 4,245 | $31.20 | D | 8,799 | D | |
| Common StockF1 | Apr 7, 2017 | S | 5,422 | $31.2246 | D | 3,377 | 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 RightF2 | $21.06 | Apr 7, 2017 | M | 14,451 | D | — | Feb 5, 2026 | Common Stock | 14,451 | 43,356 | D |
| Stock Appreciation RightF3 | $26.64 | Apr 7, 2017 | M | 4,971 | D | — | Jul 16, 2025 | Common Stock | 4,971 | 14,913 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $31.22 to $31.251. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request, to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.
- F2Vesting occurs 25% per year beginning one year from 2/5/2016.
- F3Vesting occurs 25% per year beginning one year from 7/16/2015.