SEC Form 4 · accession 0001127602-19-001552
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
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 12:21 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 | Jan 4, 2019 | M | 9,504 | $33.81 | A | 12,156 | D | |
| Common Stock | Jan 4, 2019 | F | 3,493 | $33.81 | D | 8,663 | 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 | — | Jan 4, 2019 | M | 9,504 | D | — | — | Common Stock | 9,504 | 0 | D |
Explanation of responses
- F1Conversion occurs on a one-for-one basis.
- F2Vesting occurs 25% on the first two anniversaries of 1/4/2016 and the remaining 50% on the third anniversary of 1/4/2016.
- F3This grant does not have an expiration date.