SEC Form 4 · accession 0001127602-18-005298
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xueling Lu
Officer — Controller and PAO
Period of report
Feb 9, 2018
Accepted (ET)
Feb 13, 2018 · 6:30 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001673358
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2,F3 | — | Feb 9, 2018 | A | 2,314 | A | — | — | Common Stock | 2,314 | 2,314 | D |
| Stock Appreciation RightF4 | $40.29 | Feb 9, 2018 | A | 6,942 | A | — | Feb 9, 2028 | Common Stock | 6,942 | 6,942 | D |
Explanation of responses
- F1Conversion occurs on a one-for-one basis.
- F2Vesting occurs 100% on the third anniversary of the grant date.
- F3This grant does not have an expiration date.
- F4Vesting occurs 25% per year beginning one year from grant date.