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 |
|---|---|---|---|---|---|---|
| June 20, 2018 Filed Jun 22, 2018 17:22 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-021759 · form4.xml · derivative · entry 4 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,334 Underlying: Common Stock · 23 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 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 20, 2018 Filed Jun 22, 2018 17:22 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 23 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-021759 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,444 Underlying: Common Stock · 23 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% 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 |
| June 20, 2018 Filed Jun 22, 2018 17:22 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 18 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-021759 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,482 Underlying: Common Stock · 18 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 |
| June 20, 2018 Filed Jun 22, 2018 17:22 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 63 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-021759 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,437 Underlying: Common Stock · 63 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% 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, 2018 Filed Mar 23, 2018 20:04 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 22 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-012698 · form4.xml · derivative · entry 4 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,311 Underlying: Common Stock · 22 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F1 · price: Conversion occurs on a one-for-one basis. F7 · 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 |
| March 21, 2018 Filed Mar 23, 2018 20:04 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 22 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-012698 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,421 Underlying: Common Stock · 22 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F1 · 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% 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. F6 · balance_after: Amount reported includes 104 shares related to a dividend paid in 2016 that were previously inadvertently omitted from the reporting person's Section 16 forms. Read SEC document |
| March 21, 2018 Filed Mar 23, 2018 20:04 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 17 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-012698 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,464 Underlying: Common Stock · 17 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F1 · 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, 2018 Filed Mar 23, 2018 20:04 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 60 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-18-012698 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,374 Underlying: Common Stock · 60 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F1 · 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% 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 |
| February 09, 2018 Filed Feb 13, 2018 06:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 7,447 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-005294 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,447 Underlying: Common Stock · 7,447 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 09, 2018 Filed Feb 13, 2018 06:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 22,188 | $0.00 Strike: $40.29 | $0.00 |
DisclosureSEC source: 0001127602-18-005294 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,188 Underlying: Common Stock · 22,188 shares Expires 2028-02-09 F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from grant date. Read SEC document |
| January 04, 2018 Filed Jan 8, 2018 06:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 4,699 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-001306 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,295 Underlying: Common Stock · 4,699 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% will vest 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, 2018 Filed Jan 8, 2018 06:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 658 | $42.50 | $27,965.00 |
DisclosureSEC source: 0001127602-18-001306 · form4.xml · nonDerivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,051 Read SEC document |
| January 04, 2018 Filed Jan 8, 2018 06:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 4,699 | $42.50 | $199,707.50 |
DisclosureSEC source: 0001127602-18-001306 · form4.xml · nonDerivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,709 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 21, 2017 Filed Dec 26, 2017 16:35 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 61 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035485 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,314 Underlying: Common Stock · 61 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 21, 2017 Filed Dec 26, 2017 16:35 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035485 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,289 Underlying: Common Stock · 22 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 21, 2017 Filed Dec 26, 2017 16:35 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 34 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035485 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,994 Underlying: Common Stock · 34 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 01, 2017 Filed Nov 2, 2017 17:29 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 25,253 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-031042 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,253 Underlying: Common Stock · 25,253 shares Expires not disclosed 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 |
| May 17, 2017 Filed May 18, 2017 09:56 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | PurchaseCommon Stock | 4,420 | $34.75 | $153,573.78 |
DisclosureSEC source: 0001127602-17-018573 · form4.xml · nonDerivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,010 F1 · price: This transaction was executed in multiple trades at prices ranging from $34.70 to $34.80. The price reported above reflects the 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. F2 · ownership.direct: These shares were acquired on November 1, 2016 in a transaction exempt from reporting pursuant to Rule 16a-9 in connection with the issuer's spinoff from Yum! Brands, Inc. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 21:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 37,258 | $0.00 Strike: $26.56 | $0.00 |
DisclosureSEC source: 0001127602-17-005651 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,258 Underlying: Common Stock · 37,258 shares Expires 2027-02-10 F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from grant date. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 11:10 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 4,687 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-001224 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,960 Underlying: Common Stock · 4,687 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% will vest 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, 2017 Filed Jan 6, 2017 11:10 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 597 | $26.62 | $15,892.14 |
DisclosureSEC source: 0001127602-17-001224 · form4.xml · nonDerivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,090 Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 11:10 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 4,687 | $26.62 | $124,767.94 |
DisclosureSEC source: 0001127602-17-001224 · form4.xml · nonDerivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,687 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 11, 2016 Filed Nov 15, 2016 11:54 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 9,267 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-067090 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,267 Underlying: Common Stock · 9,267 shares Expires not disclosed F2 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F3 · 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. F4 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| November 11, 2016 Filed Nov 15, 2016 11:54 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 24,423 | $0.00 Strike: $26.98 | $0.00 |
DisclosureSEC source: 0001127602-16-067090 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,423 Underlying: Common Stock · 24,423 shares Expires 2026-11-11 F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from grant date. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:41 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 13,901 | $0.00 Strike: $19.46 | $0.00 |
DisclosureSEC source: 0001127602-16-065980 · form4.xml · derivative · entry 7 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,901 Underlying: Common Stock · 13,901 shares Expires 2022-02-08 F1 · derivative.exercise_date: Vested in full. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:41 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 18,647 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-065980 · form4.xml · derivative · entry 6 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,647 Underlying: Common Stock · 18,647 shares Expires not disclosed F6 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F7 · derivative.exercise_date: Vesting occurs 25% on the first two anniversaries of 1/4/2016 and the remaining 50% will vest on the third anniversary of 1/4/2016. F8 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:41 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 11,706 | $0.00 Strike: $21.06 | $0.00 |
DisclosureSEC source: 0001127602-16-065980 · form4.xml · derivative · entry 5 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,706 Underlying: Common Stock · 11,706 shares Expires 2026-02-05 F5 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 2/5/2016. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:41 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 11,502 | $0.00 Strike: $22.32 | $0.00 |
DisclosureSEC source: 0001127602-16-065980 · form4.xml · derivative · entry 4 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,502 Underlying: Common Stock · 11,502 shares Expires 2025-02-06 F4 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 2/6/2015 Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:41 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 12,234 | $0.00 Strike: $21.30 | $0.00 |
DisclosureSEC source: 0001127602-16-065980 · form4.xml · derivative · entry 3 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,234 Underlying: Common Stock · 12,234 shares Expires 2024-02-05 F3 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 2/5/2014. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:41 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 13,467 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0001127602-16-065980 · form4.xml · derivative · entry 2 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,467 Underlying: Common Stock · 13,467 shares Expires 2023-02-06 F2 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 2/6/2013. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:41 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 5,213 | $0.00 Strike: $19.46 | $0.00 |
DisclosureSEC source: 0001127602-16-065980 · form4.xml · derivative · entry 1 Ng Shella · CIK 0001685727 · Chief Legal Officer, Corp. Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,213 Underlying: Common Stock · 5,213 shares Expires 2022-02-08 F1 · derivative.exercise_date: Vested in full. 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.