SEC Form 4 · accession 0001127602-18-034068
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
Nov 14, 2018
Accepted (ET)
Nov 21, 2018 · 10:25 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 14, 2018 | M | 1,863 | $26.56 | A | 1,863 | D | |
| Common Stock | Nov 14, 2018 | D | 1,369 | $36.17 | D | 494 | D | |
| Common Stock | Nov 14, 2018 | S | 494 | $36.15 | 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 RightF1 | $26.56 | Nov 14, 2018 | M | 1,863 | D | — | Feb 10, 2027 | Common Stock | 1,863 | 5,589 | D |
Explanation of responses
- F1Vesting occurs 25% per year beginning one year from 02/10/2017.