SEC Form 4 · accession 0001127602-17-031558
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan S Linen
Director
Period of report
Nov 3, 2017
Accepted (ET)
Nov 7, 2017 · 9:01 pm EST
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 | Jun 7, 2017 | G | 61 | $0.00 | D | 0 | I | By Wife |
| Common StockF1 | Jun 7, 2017 | G | 61 | $0.00 | A | 27,240 | D | |
| Common StockF2 | Nov 3, 2017 | M | 3,464 | $11.66 | A | 42,208 | D | |
| Common Stock | Nov 3, 2017 | D | 972 | $41.58 | D | 41,236 | D | |
| Common Stock | holding | — | — | — | 10,000 | I | By 2016 Grantor Retained Annuity Trust #2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF3 | $11.66 | Nov 3, 2017 | M | 3,464 | D | — | Nov 6, 2017 | Common Stock | 3,464 | 0 | D |
Explanation of responses
- F1This transaction involved a gift of securities by the Reporting Person's spouse to the Reporting Person. Also, the total number of shares reflects a correction of a prior inadvertent error regarding total securities beneficially owned by the Reporting Person's spouse.
- F2Reflects transactions previously reported on Form 4s for the Reporting Person since June 2017. Also includes 5,864 shares previously held indirectly in the Reporting Person's 2015 Grantor Retained Annuity Trust #2, which were distributed to the Reporting Person's revocable trust in September 2017, and are now owned directly by the Reporting Person.
- F3Vested in full.