SEC Form 4 · accession 0001127602-17-014766
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Chu
Officer — Senior Advisor to CEO
Period of report
Apr 13, 2017
Accepted (ET)
Apr 17, 2017 · 8:15 am 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 13, 2017 | M | 30,000 | $14.88 | A | 32,855 | D | |
| Common Stock | Apr 13, 2017 | D | 13,528 | $33.00 | D | 19,327 | D | |
| Common Stock | Apr 13, 2017 | S | 16,472 | $33.00 | D | 2,855 | 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 | $14.88 | Apr 13, 2017 | M | 30,000 | D | — | Feb 4, 2021 | Common Stock | 30,000 | 60,602 | D |
Explanation of responses
- F1Vested in full.