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YUMC

Yum China Holdings, Inc.

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1255
SEC CIK
0001673358
Parsed reports
923

Last 12 months

Inside the activity.

0 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202503
Dec 202501
Jan 202600
Feb 202606
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202606
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 17, 2019 Filed Jun 18, 2019 06:42 UTC
Wang Alice HChief Public Affairs Officer
GrantRestricted Stock Unit · Derivative 6 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021897 · form4.xml · derivative · entry 1

Wang Alice H · CIK 0001686224 · Chief Public Affairs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,360

Underlying: Common Stock · 6 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 50% on the second anniversary of the grant date and the remaining 50% will vest on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

Read SEC document
June 17, 2019 Filed Jun 18, 2019 10:46 UTC
Pant MukteshDirector
GrantRestricted Stock Unit · Derivative 82 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021900 · form4.xml · derivative · entry 1

Pant Muktesh · CIK 0001456722 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,339

Underlying: Common Stock · 82 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 50% on the second anniversary of the grant date and the remaining 50% will vest on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

Read SEC document
June 17, 2019 Filed Jun 18, 2019 10:33 UTC
Lu XuelingController and PAO
GrantRestricted Stock Unit · Derivative 8 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021890 · form4.xml · derivative · entry 2

Lu Xueling · CIK 0001725927 · Controller and PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,848

Underlying: Common Stock · 8 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

Read SEC document
June 17, 2019 Filed Jun 18, 2019 10:33 UTC
Lu XuelingController and PAO
GrantRestricted Stock Unit · Derivative 6 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021890 · form4.xml · derivative · entry 1

Lu Xueling · CIK 0001725927 · Controller and PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,350

Underlying: Common Stock · 6 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

Read SEC document
May 31, 2019 Filed Jun 3, 2019 06:17 UTC GrantCommon Stock 3,436 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020361 · form4.xml · nonDerivative · entry 1

BASSI PETER A · CIK 0001179551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,832

Read SEC document
May 31, 2019 Filed Jun 3, 2019 06:32 UTC
Lu Ruby RongDirector
GrantCommon Stock 7,373 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020373 · form4.xml · nonDerivative · entry 1

Lu Ruby Rong · CIK 0001688841 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,959

Read SEC document
May 31, 2019 Filed Jun 3, 2019 10:25 UTC GrantCommon Stock 3,436 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020367 · form4.xml · nonDerivative · entry 1

Chan Ed Yiu-Cheong · CIK 0001686103 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,022

Read SEC document
May 31, 2019 Filed Jun 3, 2019 06:19 UTC GrantCommon Stock 6,873 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020363 · form4.xml · nonDerivative · entry 1

Ettedgui Edouard · CIK 0001686105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,570

Read SEC document
May 31, 2019 Filed Jun 3, 2019 06:27 UTC
Shao ZiliDirector
GrantCommon Stock 7,248 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020369 · form4.xml · nonDerivative · entry 1

Shao Zili · CIK 0001686113 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,148

Read SEC document
May 31, 2019 Filed Jun 3, 2019 10:31 UTC
Hsieh LouisDirector
GrantCommon Stock 3,436 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020371 · form4.xml · nonDerivative · entry 1

Hsieh Louis · CIK 0001686218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,815

Read SEC document
May 31, 2019 Filed Jun 3, 2019 10:23 UTC GrantCommon Stock 7,623 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020365 · form4.xml · nonDerivative · entry 1

CAMPBELL CHRISTAIN · CIK 0001211693 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,726

Read SEC document
May 31, 2019 Filed Jun 3, 2019 10:33 UTC
HAN CYRILDirector
GrantCommon Stock 6,873 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020375 · form4.xml · nonDerivative · entry 1

HAN CYRIL · CIK 0001776809 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,873

Read SEC document
May 31, 2019 Filed Jun 5, 2019 01:39 UTC
Hu FredDirector
GrantCommon Stock, par value $0.01 7,248 $0.00 $0.00
Disclosure

SEC source: 0001567619-19-012797 · doc1.xml · nonDerivative · entry 1

Hu Fred · CIK 0001686100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,731

Read SEC document
May 31, 2019 Filed Jun 5, 2019 01:32 UTC GrantCommon Stock, par value $0.01 6,873 $0.00 $0.00
Disclosure

SEC source: 0001567619-19-012788 · doc1.xml · nonDerivative · entry 1

Yang William Wang · CIK 0001713245 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,175

Read SEC document
May 07, 2019 Filed May 8, 2019 08:07 UTC
Wang Alice HChief Public Affairs Officer
Exercise / conversionStock Appreciation Right · Derivative 3,120 $0.00 Strike: $21.06 $0.00
Disclosure

SEC source: 0001127602-19-017657 · form4.xml · derivative · entry 4

Wang Alice H · CIK 0001686224 · Chief Public Affairs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,874

Underlying: Common Stock · 3,120 shares

Expires 2026-02-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 2/5/2016.

Read SEC document
May 07, 2019 Filed May 8, 2019 08:07 UTC
Wang Alice HChief Public Affairs Officer
SaleCommon Stock 1,697 $46.09 $78,210.15
Disclosure

SEC source: 0001127602-19-017657 · form4.xml · nonDerivative · entry 3

Wang Alice H · CIK 0001686224 · Chief Public Affairs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $46.08 to $46.095. 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.

Read SEC document
May 07, 2019 Filed May 8, 2019 08:07 UTC
Wang Alice HChief Public Affairs Officer
Disposition to issuerCommon Stock 1,423 $46.18 $65,714.14
Disclosure

SEC source: 0001127602-19-017657 · form4.xml · nonDerivative · entry 2

Wang Alice H · CIK 0001686224 · Chief Public Affairs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,697

Read SEC document
May 07, 2019 Filed May 8, 2019 08:07 UTC
Wang Alice HChief Public Affairs Officer
Exercise / conversionCommon Stock 3,120 $21.06 $65,707.20
Disclosure

SEC source: 0001127602-19-017657 · form4.xml · nonDerivative · entry 1

Wang Alice H · CIK 0001686224 · Chief Public Affairs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,120

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 01, 2019 Filed Apr 2, 2019 06:07 UTC
LO JACKY WEI-JYECFO, Treasurer
Exercise / conversionStock Appreciation Right · Derivative 8,135 $0.00 Strike: $40.29 $0.00
Disclosure

SEC source: 0001127602-19-013925 · form4.xml · derivative · entry 5

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,408

Underlying: Common Stock · 8,135 shares

Expires 2028-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan previously adopted by this reporting person on February 20, 2019.

F3 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from grant date.

Read SEC document
April 01, 2019 Filed Apr 2, 2019 06:07 UTC
LO JACKY WEI-JYECFO, Treasurer
SaleCommon Stock 873 $45.00 $39,285.00
Disclosure

SEC source: 0001127602-19-013925 · form4.xml · nonDerivative · entry 4

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: The transactions reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan previously adopted by this reporting person on February 20, 2019.

Read SEC document
April 01, 2019 Filed Apr 2, 2019 06:07 UTC
LO JACKY WEI-JYECFO, Treasurer
Disposition to issuerCommon Stock 7,284 $45.00 $327,780.00
Disclosure

SEC source: 0001127602-19-013925 · form4.xml · nonDerivative · entry 3

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 873

F2 · kind: The transactions reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan previously adopted by this reporting person on February 20, 2019.

Read SEC document
April 01, 2019 Filed Apr 2, 2019 06:07 UTC
LO JACKY WEI-JYECFO, Treasurer
SaleCommon Stock 851 $45.00 $38,295.00
Disclosure

SEC source: 0001127602-19-013925 · form4.xml · nonDerivative · entry 2

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,157

F2 · kind: The transactions reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan previously adopted by this reporting person on February 20, 2019.

Read SEC document
April 01, 2019 Filed Apr 2, 2019 06:07 UTC
LO JACKY WEI-JYECFO, Treasurer
Exercise / conversionCommon Stock 8,135 $40.29 $327,759.15
Disclosure

SEC source: 0001127602-19-013925 · form4.xml · nonDerivative · entry 1

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,008

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported in this Form 4 were made pursuant to a Rule 10b5-1 trading plan previously adopted by this reporting person on February 20, 2019.

Read SEC document
March 29, 2019 Filed Apr 1, 2019 06:39 UTC
LO JACKY WEI-JYECFO, Treasurer
Exercise / conversionStock Appreciation Right · Derivative 5,123 $0.00 Strike: $26.56 $0.00
Disclosure

SEC source: 0001127602-19-013615 · form4.xml · derivative · entry 4

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,246

Underlying: Common Stock · 5,123 shares

Expires 2027-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 2/10/2017.

Read SEC document
March 29, 2019 Filed Apr 1, 2019 06:39 UTC
LO JACKY WEI-JYECFO, Treasurer
SaleCommon Stock 2,065 $44.50 $91,892.50
Disclosure

SEC source: 0001127602-19-013615 · form4.xml · nonDerivative · entry 3

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 873

Read SEC document
March 29, 2019 Filed Apr 1, 2019 06:39 UTC
LO JACKY WEI-JYECFO, Treasurer
Disposition to issuerCommon Stock 3,058 $44.50 $136,081.00
Disclosure

SEC source: 0001127602-19-013615 · form4.xml · nonDerivative · entry 2

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,938

Read SEC document
March 29, 2019 Filed Apr 1, 2019 06:39 UTC
LO JACKY WEI-JYECFO, Treasurer
Exercise / conversionCommon Stock 5,123 $26.56 $136,066.88
Disclosure

SEC source: 0001127602-19-013615 · form4.xml · nonDerivative · entry 1

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,996

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Exercise / conversionStock Appreciation Right · Derivative 8,779 $0.00 Strike: $21.06 $0.00
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · derivative · entry 13

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,927

Underlying: Common Stock · 8,779 shares

Expires 2026-02-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 2/5/2016.

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Exercise / conversionStock Appreciation Right · Derivative 12,211 $0.00 Strike: $26.98 $0.00
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · derivative · entry 12

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,212

Underlying: Common Stock · 12,211 shares

Expires 2026-11-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from grant date.

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Exercise / conversionStock Appreciation Right · Derivative 5,547 $0.00 Strike: $40.29 $0.00
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · derivative · entry 11

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,641

Underlying: Common Stock · 5,547 shares

Expires 2028-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from grant date.

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Exercise / conversionStock Appreciation Right · Derivative 18,629 $0.00 Strike: $26.56 $0.00
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · derivative · entry 10

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,629

Underlying: Common Stock · 18,629 shares

Expires 2027-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from grant date.

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
SaleCommon Stock 17,341 $44.30 $768,206.30
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 9

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,736

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Disposition to issuerCommon Stock 4,174 $44.30 $184,908.20
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 8

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,077

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Disposition to issuerCommon Stock 5,045 $44.30 $223,493.50
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 7

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,251

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Disposition to issuerCommon Stock 7,437 $44.30 $329,459.10
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 6

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,296

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Disposition to issuerCommon Stock 11,169 $44.30 $494,786.70
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 5

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,733

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Exercise / conversionCommon Stock 8,779 $21.06 $184,885.74
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 4

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,902

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Exercise / conversionCommon Stock 12,211 $26.98 $329,452.78
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 3

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,123

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Exercise / conversionCommon Stock 5,547 $40.29 $223,488.63
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 2

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,912

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 27, 2019 Filed Mar 28, 2019 06:44 UTC
Ng ShellaChief Legal Officer, Corp. Sec
Exercise / conversionCommon Stock 18,629 $26.56 $494,786.24
Disclosure

SEC source: 0001127602-19-013467 · form4.xml · nonDerivative · entry 1

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,365

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 21, 2019 Filed Mar 22, 2019 06:22 UTC
Yuen AikenChief People Officer
GrantRestricted Stock Unit · Derivative 15 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012770 · form4.xml · derivative · entry 2

Yuen Aiken · CIK 0001725089 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,488

Underlying: Common Stock · 15 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

Read SEC document
March 21, 2019 Filed Mar 22, 2019 06:22 UTC
Yuen AikenChief People Officer
GrantRestricted Stock Unit · Derivative 15 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012770 · form4.xml · derivative · entry 1

Yuen Aiken · CIK 0001725089 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,736

Underlying: Common Stock · 15 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

Read SEC document
March 21, 2019 Filed Mar 22, 2019 06:13 UTC
LO JACKY WEI-JYECFO, Treasurer
GrantRestricted Stock Unit · Derivative 29 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012764 · form4.xml · derivative · entry 3

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,591

Underlying: Common Stock · 29 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F4 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

Read SEC document
March 21, 2019 Filed Mar 22, 2019 06:13 UTC
LO JACKY WEI-JYECFO, Treasurer
GrantRestricted Stock Unit · Derivative 30 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012764 · form4.xml · derivative · entry 2

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,072

Underlying: Common Stock · 30 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F4 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

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March 21, 2019 Filed Mar 22, 2019 06:13 UTC
LO JACKY WEI-JYECFO, Treasurer
GrantRestricted Stock Unit · Derivative 1 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012764 · form4.xml · derivative · entry 1

LO JACKY WEI-JYE · CIK 0001699972 · CFO, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442

Underlying: Common Stock · 1 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 1/3 per year beginning one year from the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

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March 21, 2019 Filed Mar 22, 2019 06:23 UTC
Lee TedGM Little Sheep & East Dawning
GrantRestricted Stock Unit · Derivative 10 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012772 · form4.xml · derivative · entry 4

Lee Ted · CIK 0001685821 · GM Little Sheep & East Dawning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,611

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F4 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

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March 21, 2019 Filed Mar 22, 2019 06:23 UTC
Lee TedGM Little Sheep & East Dawning
GrantRestricted Stock Unit · Derivative 38 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012772 · form4.xml · derivative · entry 3

Lee Ted · CIK 0001685821 · GM Little Sheep & East Dawning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,037

Underlying: Common Stock · 38 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 50% on the second anniversary of the grant date and the remaining 50% will vest on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

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March 21, 2019 Filed Mar 22, 2019 06:23 UTC
Lee TedGM Little Sheep & East Dawning
GrantRestricted Stock Unit · Derivative 10 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012772 · form4.xml · derivative · entry 2

Lee Ted · CIK 0001685821 · GM Little Sheep & East Dawning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,773

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F4 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

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March 21, 2019 Filed Mar 22, 2019 06:23 UTC
Lee TedGM Little Sheep & East Dawning
GrantRestricted Stock Unit · Derivative 6 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012772 · form4.xml · derivative · entry 1

Lee Ted · CIK 0001685821 · GM Little Sheep & East Dawning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,354

Underlying: Common Stock · 6 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 50% on the second anniversary of the grant date and the remaining 50% will vest on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

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March 21, 2019 Filed Mar 22, 2019 06:25 UTC
Ng ShellaChief Legal Officer, Corp. Sec
GrantRestricted Stock Unit · Derivative 19 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-012774 · form4.xml · derivative · entry 4

Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,221

Underlying: Common Stock · 19 shares

Expires not disclosed

F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis.

F5 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 100% on the third anniversary of the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.

F3 · derivative.expiration_date: This grant does not have an expiration date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.