SEC Form 4 · accession 0001127602-19-004955
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 7, 2019
Accepted (ET)
Feb 11, 2019 · 6:42 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 | Feb 7, 2019 | M | 12,234 | $21.30 | A | 43,970 | D | |
| Common Stock | Feb 7, 2019 | M | 13,467 | $19.00 | A | 57,437 | D | |
| Common Stock | Feb 7, 2019 | M | 13,901 | $19.46 | A | 71,338 | D | |
| Common Stock | Feb 7, 2019 | M | 5,213 | $19.46 | A | 76,551 | D | |
| Common Stock | Feb 7, 2019 | D | 21,308 | $41.70 | D | 55,243 | D | |
| Common Stock | Feb 7, 2019 | S | 23,507 | $41.70 | 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 RightF1 | $21.30 | Feb 7, 2019 | M | 12,234 | D | — | Feb 5, 2024 | Common Stock | 12,234 | 0 | D |
| Stock Appreciation RightF1 | $19.00 | Feb 7, 2019 | M | 13,467 | D | — | Feb 6, 2023 | Common Stock | 13,467 | 0 | D |
| Stock Appreciation RightF1 | $19.46 | Feb 7, 2019 | M | 13,901 | D | — | Feb 8, 2022 | Common Stock | 13,901 | 0 | D |
| Stock Appreciation RightF1 | $19.46 | Feb 7, 2019 | M | 5,213 | D | — | Feb 8, 2022 | Common Stock | 5,213 | 0 | D |
Explanation of responses
- F1Vested in full.