SEC Form 4 · accession 0001127602-18-031714
Yum China Holdings, Inc. · YUMC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shella Ng
Officer — Chief Legal Officer, Corp. Sec
Period of report
Nov 1, 2018
Accepted (ET)
Nov 2, 2018 · 6:03 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 | Nov 1, 2018 | M | 6,377 | $35.84 | A | 20,428 | D | |
| Common Stock | Nov 1, 2018 | F | 892 | $35.84 | D | 19,536 | D |
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 | — | Nov 1, 2018 | M | 6,377 | D | — | — | Common Stock | 6,377 | 19,133 | D |
Explanation of responses
- F1Conversion occurs on a one-for-one basis.
- F2Vesting occurs 25% per year beginning one year from 11/1/2017.
- F3This grant does not have an expiration date.