SEC Form 4 · accession 0001127602-17-029582
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Danny Tan
Officer — Chief Support Officer
Period of report
Oct 9, 2017
Accepted (ET)
Oct 10, 2017 · 8:00 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 StockF1 | Oct 9, 2017 | M | 2,905 | $11.26 | A | 7,417 | D | |
| Common StockF1 | Oct 9, 2017 | D | 781 | $41.89 | D | 6,636 | D | |
| Common StockF1 | Oct 9, 2017 | S | 2,124 | $41.8419 | D | 4,512 | 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 | $11.26 | Oct 9, 2017 | M | 2,905 | D | — | Jan 24, 2018 | Common Stock | 2,905 | 0 | D |
Explanation of responses
- F1These shares were acquired on November 1, 2016 in a transaction exempt from reporting pursuant to Rule 16a-9 in connection with the issuer's spinoff from Yum! Brands, Inc.
- F2Vested in full.