SEC Form 4 · accession 0001127602-19-004720
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
Feb 6, 2019
Accepted (ET)
Feb 8, 2019 · 1:12 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 | Feb 6, 2019 | M | 11,502 | $22.32 | A | 43,238 | D | |
| Common Stock | Feb 6, 2019 | D | 6,211 | $41.34 | D | 37,027 | D | |
| Common StockF1 | Feb 6, 2019 | S | 5,291 | $41.3165 | D | 31,736 | 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 | $22.32 | Feb 6, 2019 | M | 11,502 | D | — | Feb 6, 2025 | Common Stock | 11,502 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $41.3146 to $41.3246. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request, to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.
- F2Vested in full.