SEC Form 4 · accession 0001127602-17-018571
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Muktesh Pant
Officer — Chief Executive Officer · Director
Period of report
May 16, 2017
Accepted (ET)
May 18, 2017 · 9:50 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 | May 16, 2017 | M | 34,707 | $11.26 | A | 150,440 | D | |
| Common Stock | May 16, 2017 | M | 52,833 | $11.26 | A | 203,273 | D | |
| Common Stock | May 16, 2017 | D | 16,978 | $35.04 | D | 186,295 | D | |
| Common Stock | May 16, 2017 | D | 11,153 | $35.04 | D | 175,142 | 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 | $11.26 | May 16, 2017 | M | 34,707 | D | — | Jan 24, 2018 | Common Stock | 34,707 | 0 | D |
| Stock Appreciation RightF1 | $11.26 | May 16, 2017 | M | 52,833 | D | — | Jan 24, 2018 | Common Stock | 52,833 | 0 | D |
Explanation of responses
- F1Vested in full.