Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Yum China Holdings, Inc.YUMC · Entity 1255 | Chief Legal Officer, Corp. Sec | March 27, 2019 | March 28, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Yum China Holdings, Inc.
Report date March 27, 2019 · Filed March 28, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 31,736 |
Ending reported balance
After 2019-03-27 transaction · row 9
9 source rows · reconciled sequenceRow 1 · 2019-03-27 · Exercise / conversion · Acquired 18,629 · Balance 50,365 Row 2 · 2019-03-27 · Exercise / conversion · Acquired 5,547 · Balance 55,912 Row 3 · 2019-03-27 · Exercise / conversion · Acquired 12,211 · Balance 68,123 Row 4 · 2019-03-27 · Exercise / conversion · Acquired 8,779 · Balance 76,902 Row 5 · 2019-03-27 · Disposition to issuer · Disposed 11,169 · Balance 65,733 Row 6 · 2019-03-27 · Disposition to issuer · Disposed 7,437 · Balance 58,296 Row 7 · 2019-03-27 · Disposition to issuer · Disposed 5,045 · Balance 53,251 Row 8 · 2019-03-27 · Disposition to issuer · Disposed 4,174 · Balance 49,077 Row 9 · 2019-03-27 · Sale · Disposed 17,341 · Balance 31,736 |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $26.56 · Expires 2027-02-10 | Direct | 18,629 |
Reported balance
After 2019-03-27 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-03-27 · Exercise / conversion · Disposed 18,629 · Balance 18,629 F1: Vesting occurs 25% per year beginning one year from grant date. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $40.29 · Expires 2028-02-09 | Direct | 16,641 |
Reported balance
After 2019-03-27 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-03-27 · Exercise / conversion · Disposed 5,547 · Balance 16,641 F1: Vesting occurs 25% per year beginning one year from grant date. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $26.98 · Expires 2026-11-11 | Direct | 12,212 |
Reported balance
After 2019-03-27 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2019-03-27 · Exercise / conversion · Disposed 12,211 · Balance 12,212 F1: Vesting occurs 25% per year beginning one year from grant date. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $21.06 · Expires 2026-02-05 | Direct | 2,927 |
Reported balance
After 2019-03-27 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2019-03-27 · Exercise / conversion · Disposed 8,779 · Balance 2,927 F2: Vesting occurs 25% per year beginning one year from 2/5/2016. |
Filing footnotes · ownership attribution and instrument terms
F1: Vesting occurs 25% per year beginning one year from grant date.
F2: Vesting occurs 25% per year beginning one year from 2/5/2016.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 27, 2019 Filed Mar 28, 2019 06:44 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 8,779 | $0.00 Strike: $21.06 | $0.00 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 12,211 | $0.00 Strike: $26.98 | $0.00 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 5,547 | $0.00 Strike: $40.29 | $0.00 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 18,629 | $0.00 Strike: $26.56 | $0.00 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 17,341 | $44.30 | $768,206.30 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 4,174 | $44.30 | $184,908.20 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 5,045 | $44.30 | $223,493.50 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 7,437 | $44.30 | $329,459.10 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 11,169 | $44.30 | $494,786.70 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 8,779 | $21.06 | $184,885.74 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 12,211 | $26.98 | $329,452.78 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 5,547 | $40.29 | $223,488.63 |
DisclosureSEC 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 | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 18,629 | $26.56 | $494,786.24 |
DisclosureSEC 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 06:25 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 19 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 06:25 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 20 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-012774 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,548 Underlying: Common Stock · 20 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. Read SEC document |
| March 21, 2019 Filed Mar 22, 2019 06:25 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 53 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-012774 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,251 Underlying: Common Stock · 53 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 25% per year beginning one year from 11/1/2017. 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 06:25 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 13 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-012774 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,709 Underlying: Common Stock · 13 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 |
| February 07, 2019 Filed Feb 11, 2019 06:45 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 7,202 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-004957 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,202 Underlying: Common Stock · 7,202 shares Expires not disclosed F2 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F3 · derivative.exercise_date: Vesting occurs 100% on the third anniversary of the grant date. F4 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 06:45 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 22,332 | $0.00 Strike: $41.66 | $0.00 |
DisclosureSEC source: 0001127602-19-004957 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,332 Underlying: Common Stock · 22,332 shares Expires 2029-02-07 F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from grant date. Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 5,213 | $0.00 Strike: $19.46 | $0.00 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · derivative · entry 10 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,213 shares Expires 2022-02-08 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: Vested in full. Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 13,901 | $0.00 Strike: $19.46 | $0.00 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · derivative · entry 9 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,901 shares Expires 2022-02-08 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: Vested in full. Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 13,467 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · derivative · entry 8 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,467 shares Expires 2023-02-06 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: Vested in full. Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 12,234 | $0.00 Strike: $21.30 | $0.00 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · derivative · entry 7 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,234 shares Expires 2024-02-05 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. F1 · derivative.exercise_date: Vested in full. Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 23,507 | $41.70 | $980,241.90 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · nonDerivative · entry 6 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,736 Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 21,308 | $41.70 | $888,543.60 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · nonDerivative · entry 5 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,243 Read SEC document |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 5,213 | $19.46 | $101,444.98 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · nonDerivative · entry 4 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,551 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 |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 13,901 | $19.46 | $270,513.46 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · nonDerivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,338 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 |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 13,467 | $19.00 | $255,873.00 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · nonDerivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,437 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 |
| February 07, 2019 Filed Feb 11, 2019 06:42 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 12,234 | $21.30 | $260,584.20 |
DisclosureSEC source: 0001127602-19-004955 · form4.xml · nonDerivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,970 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 |
| February 06, 2019 Filed Feb 8, 2019 13:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 11,502 | $0.00 Strike: $22.32 | $0.00 |
DisclosureSEC source: 0001127602-19-004720 · form4.xml · derivative · entry 4 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,502 shares Expires 2025-02-06 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: Vested in full. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 13:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 5,291 | $41.32 | $218,605.60 |
DisclosureSEC source: 0001127602-19-004720 · form4.xml · nonDerivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,736 F1 · price: This 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. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 13:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 6,211 | $41.34 | $256,762.74 |
DisclosureSEC source: 0001127602-19-004720 · form4.xml · nonDerivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,027 Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 13:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 11,502 | $22.32 | $256,724.64 |
DisclosureSEC source: 0001127602-19-004720 · form4.xml · nonDerivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,238 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 |
| January 04, 2019 Filed Jan 8, 2019 12:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 9,504 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-001549 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,504 shares Expires not disclosed 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_price: Conversion occurs on a one-for-one basis. F2 · derivative.exercise_date: Vesting occurs 25% on the first two anniversaries of 1/4/2016 and the remaining 50% on the third anniversary of 1/4/2016. F3 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| January 04, 2019 Filed Jan 8, 2019 12:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 1,329 | $33.81 | $44,933.49 |
DisclosureSEC source: 0001127602-19-001549 · form4.xml · nonDerivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,736 Read SEC document |
| January 04, 2019 Filed Jan 8, 2019 12:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 9,504 | $33.81 | $321,330.24 |
DisclosureSEC source: 0001127602-19-001549 · form4.xml · nonDerivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,065 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 |
| December 18, 2018 Filed Dec 19, 2018 09:17 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-036719 · form4.xml · derivative · entry 4 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,528 Underlying: Common Stock · 25 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F6 · 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 |
| December 18, 2018 Filed Dec 19, 2018 09:17 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 65 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-036719 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,198 Underlying: Common Stock · 65 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 25% per year beginning one year from 11/1/2017. 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 |
| December 18, 2018 Filed Dec 19, 2018 09:17 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 16 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-036719 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,696 Underlying: Common Stock · 16 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 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 |
| December 18, 2018 Filed Dec 19, 2018 09:17 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-036719 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,503 Underlying: Common Stock · 32 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 25% on the first two anniversaries 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 |
| November 11, 2018 Filed Nov 13, 2018 06:16 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 4,680 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-032684 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,680 Underlying: Common Stock · 4,680 shares Expires not disclosed 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_price: Conversion occurs on a one-for-one basis. F2 · derivative.exercise_date: Vesting occurs 50% on the second anniversary of the grant date and the remaining 50% will vest on the third anniversary of the grant date. F3 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| November 11, 2018 Filed Nov 13, 2018 06:16 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 655 | $36.50 | $23,907.50 |
DisclosureSEC source: 0001127602-18-032684 · form4.xml · nonDerivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,561 Read SEC document |
| November 11, 2018 Filed Nov 13, 2018 06:16 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 4,680 | $36.50 | $170,820.00 |
DisclosureSEC source: 0001127602-18-032684 · form4.xml · nonDerivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,216 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 |
| November 01, 2018 Filed Nov 2, 2018 06:03 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 6,377 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-031714 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,133 Underlying: Common Stock · 6,377 shares Expires not disclosed 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_price: Conversion occurs on a one-for-one basis. F2 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 11/1/2017. F3 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| November 01, 2018 Filed Nov 2, 2018 06:03 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 892 | $35.84 | $31,969.28 |
DisclosureSEC source: 0001127602-18-031714 · form4.xml · nonDerivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,536 Read SEC document |
| November 01, 2018 Filed Nov 2, 2018 06:03 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 6,377 | $35.84 | $228,551.68 |
DisclosureSEC source: 0001127602-18-031714 · form4.xml · nonDerivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,428 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 |
| September 19, 2018 Filed Sep 20, 2018 06:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 21 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-028104 · form4.xml · derivative · entry 4 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,503 Underlying: Common Stock · 21 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F6 · 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 |
| September 19, 2018 Filed Sep 20, 2018 06:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 73 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-028104 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,510 Underlying: Common Stock · 73 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 25% per year beginning one year from 11/1/2017. 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 |
| September 19, 2018 Filed Sep 20, 2018 06:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-028104 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,360 Underlying: Common Stock · 26 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 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 |
| September 19, 2018 Filed Sep 20, 2018 06:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 27 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-028104 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,471 Underlying: Common Stock · 27 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 25% on the first two anniversaries 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.