SEC Form 4 · accession 0001127602-18-032691
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
Nov 12, 2018
Accepted (ET)
Nov 13, 2018 · 6:29 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 Stock | Nov 12, 2018 | M | 9,942 | $26.64 | A | 9,942 | D | |
| Common Stock | Nov 12, 2018 | D | 7,257 | $36.50 | D | 2,685 | D | |
| Common Stock | Nov 12, 2018 | M | 12,211 | $26.98 | A | 14,896 | D | |
| Common Stock | Nov 12, 2018 | D | 9,027 | $36.50 | D | 5,869 | D | |
| Common Stock | Nov 12, 2018 | M | 9,314 | $26.56 | A | 15,183 | D | |
| Common Stock | Nov 12, 2018 | D | 6,778 | $36.50 | D | 8,405 | D | |
| Common Stock | Nov 12, 2018 | S | 8,405 | $36.50 | 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 RightF1 | $26.64 | Nov 12, 2018 | M | 9,942 | D | — | Jul 16, 2025 | Common Stock | 9,942 | 4,971 | D |
| Stock Appreciation RightF2 | $26.98 | Nov 12, 2018 | M | 12,211 | D | — | Nov 11, 2026 | Common Stock | 12,211 | 12,212 | D |
| Stock Appreciation RightF2 | $26.56 | Nov 12, 2018 | M | 9,314 | D | — | Feb 10, 2027 | Common Stock | 9,314 | 27,944 | D |
Explanation of responses
- F1Vesting occurs 25% per year beginning one year from 7/16/2015.
- F2Vesting occurs 25% per year beginning one year from grant date.