SEC Form 4 · accession 0001127602-17-015592
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 25, 2017
Accepted (ET)
Apr 26, 2017 · 7:39 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 25, 2017 | M | 20,000 | $14.88 | A | 22,855 | D | |
| Common Stock | Apr 25, 2017 | D | 8,858 | $33.60 | D | 13,997 | D | |
| Common StockF1 | Apr 25, 2017 | S | 11,142 | $33.6048 | 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 RightF2 | $14.88 | Apr 25, 2017 | M | 20,000 | D | — | Feb 4, 2021 | Common Stock | 20,000 | 40,602 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $33.60 to $33.63. 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.
- F2Vested in full.