SEC Form 4 · accession 0001127602-17-029798
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Angela Ai
Officer — Chief Development Officer
Period of report
Oct 12, 2017
Accepted (ET)
Oct 13, 2017 · 6:50 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 | Oct 12, 2017 | M | 26,990 | $14.88 | A | 26,990 | D | |
| Common Stock | Oct 12, 2017 | D | 9,312 | $43.13 | D | 17,678 | D | |
| Common StockF1 | Oct 12, 2017 | S | 17,678 | $43.0481 | D | 0 | 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 | Oct 12, 2017 | M | 26,990 | D | — | Feb 4, 2021 | Common Stock | 26,990 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $43 to $43.15. 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.