SEC Form 4 · accession 0001127602-18-008584
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Danny Tan
Officer — Chief Supply Chain Officer
Period of report
Feb 26, 2018
Accepted (ET)
Feb 27, 2018 · 6:19 am 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 | Feb 26, 2018 | M | 4,505 | $8.84 | A | 13,039 | D | |
| Common StockF1 | Feb 26, 2018 | D | 895 | $44.50 | D | 12,144 | D | |
| Common StockF1 | Feb 26, 2018 | S | 3,610 | $44.50 | D | 8,534 | 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 | $8.84 | Feb 26, 2018 | M | 4,505 | D | — | Feb 5, 2019 | Common Stock | 4,505 | 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.