SEC Form 4 · accession 0001127602-18-006142
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Riu Sun
Officer — Chief Growth Officer
Period of report
Feb 12, 2018
Accepted (ET)
Feb 14, 2018 · 5:54 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 Stock | Feb 12, 2018 | M | 14,452 | $21.06 | A | 17,622 | D | |
| Common Stock | Feb 12, 2018 | D | 7,568 | $40.22 | D | 10,054 | D | |
| Common StockF1 | Feb 12, 2018 | S | 10,054 | $40.15 | 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 | $21.06 | Feb 12, 2018 | M | 14,452 | D | — | Feb 5, 2026 | Common Stock | 14,452 | 28,904 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $40.07 to $40.21. 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.
- F2Vesting occurs 25% per year beginning one year from 2/5/2016.