SEC Form 4 · accession 0001127602-17-026026
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
Aug 16, 2017
Accepted (ET)
Aug 18, 2017 · 3:24 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 | Aug 16, 2017 | M | 20,602 | $14.88 | A | 23,457 | D | |
| Common Stock | Aug 16, 2017 | D | 8,175 | $37.50 | D | 15,282 | D | |
| Common Stock | Aug 16, 2017 | S | 12,427 | $37.50 | D | 2,855 | D | |
| Common Stock | Aug 16, 2017 | M | 20,000 | $19.46 | A | 22,855 | D | |
| Common Stock | Aug 16, 2017 | D | 10,243 | $38.00 | D | 12,612 | D | |
| Common Stock | Aug 16, 2017 | S | 1,647 | $38.00 | D | 10,965 | D | |
| Common Stock | Aug 17, 2017 | S | 8,110 | $38.00 | 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 | Aug 16, 2017 | M | 20,602 | D | — | Feb 4, 2021 | Common Stock | 20,602 | 0 | D |
| Stock Appreciation RightF1 | $19.46 | Aug 16, 2017 | M | 20,000 | D | — | Feb 8, 2022 | Common Stock | 20,000 | 20,886 | D |
Explanation of responses
- F1Vested in full.