Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Yum China Holdings, Inc.YUMC · Entity 1255 | Chief People Officer | January 04, 2018 | January 08, 2018 |
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 January 04, 2018 · Filed January 08, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,018 |
Ending reported balance
After 2018-01-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-01-04 · Exercise / conversion · Acquired 4,699 · Balance 8,720 Row 2 · 2018-01-04 · Tax withholding · Disposed 702 · Balance 8,018 |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 9,295 |
Reported balance
After 2018-01-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-01-04 · Exercise / conversion · Disposed 4,699 · Balance 9,295 F1: Conversion occurs on a one-for-one basis. F2: 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: This grant does not have an expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Conversion occurs on a one-for-one basis.
F2: 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: This grant does not have an expiration date.
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 |
|---|---|---|---|---|---|---|
| January 04, 2018 Filed Jan 8, 2018 06:29 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 4,699 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-001310 · form4.xml · derivative · entry 3 Lo Christabel · CIK 0001685792 · Chief People Officer 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 06:29 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 702 | $42.50 | $29,835.00 |
DisclosureSEC source: 0001127602-18-001310 · form4.xml · nonDerivative · entry 2 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,018 Read SEC document |
| January 04, 2018 Filed Jan 8, 2018 06:29 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 4,699 | $42.50 | $199,707.50 |
DisclosureSEC source: 0001127602-18-001310 · form4.xml · nonDerivative · entry 1 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,720 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 16:33 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035484 · form4.xml · derivative · entry 2 Lo Christabel · CIK 0001685792 · Chief People Officer 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 16:33 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 34 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035484 · form4.xml · derivative · entry 1 Lo Christabel · CIK 0001685792 · Chief People Officer 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 |
| February 10, 2017 Filed Feb 13, 2017 21:02 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 46,573 | $0.00 Strike: $26.56 | $0.00 |
DisclosureSEC source: 0001127602-17-005627 · form4.xml · derivative · entry 1 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,573 Underlying: Common Stock · 46,573 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 11:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 4,687 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-001228 · form4.xml · derivative · entry 3 Lo Christabel · CIK 0001685792 · Chief People Officer 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 11:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 666 | $26.62 | $17,728.92 |
DisclosureSEC source: 0001127602-17-001228 · form4.xml · nonDerivative · entry 2 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,021 Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 11:18 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 4,687 | $26.62 | $124,767.94 |
DisclosureSEC source: 0001127602-17-001228 · form4.xml · nonDerivative · entry 1 Lo Christabel · CIK 0001685792 · Chief People Officer 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 12:02 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 9,267 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-067096 · form4.xml · derivative · entry 2 Lo Christabel · CIK 0001685792 · Chief People Officer 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 12:02 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 24,423 | $0.00 Strike: $26.98 | $0.00 |
DisclosureSEC source: 0001127602-16-067096 · form4.xml · derivative · entry 1 Lo Christabel · CIK 0001685792 · Chief People Officer 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 13:38 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 14,718 | $0.00 Strike: $19.46 | $0.00 |
DisclosureSEC source: 0001127602-16-065978 · form4.xml · derivative · entry 8 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,718 Underlying: Common Stock · 14,718 shares Expires 2022-02-08 F1 · derivative.exercise_date: Vested in full. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:38 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 18,647 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-065978 · form4.xml · derivative · entry 7 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,647 Underlying: Common Stock · 18,647 shares Expires not disclosed F7 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F8 · 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. F9 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:38 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 17,215 | $0.00 Strike: $21.06 | $0.00 |
DisclosureSEC source: 0001127602-16-065978 · form4.xml · derivative · entry 6 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,215 Underlying: Common Stock · 17,215 shares Expires 2026-02-05 F6 · 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 13:38 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 13,531 | $0.00 Strike: $22.32 | $0.00 |
DisclosureSEC source: 0001127602-16-065978 · form4.xml · derivative · entry 5 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,531 Underlying: Common Stock · 13,531 shares Expires 2025-02-06 F5 · 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 13:38 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 10,195 | $0.00 Strike: $21.30 | $0.00 |
DisclosureSEC source: 0001127602-16-065978 · form4.xml · derivative · entry 4 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,195 Underlying: Common Stock · 10,195 shares Expires 2024-02-05 F4 · derivative.exercise_date: Vesting occurs four years from 2/5/2014. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:38 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 13,595 | $0.00 Strike: $21.30 | $0.00 |
DisclosureSEC source: 0001127602-16-065978 · form4.xml · derivative · entry 3 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,595 Underlying: Common Stock · 13,595 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 13:38 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 13,467 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0001127602-16-065978 · form4.xml · derivative · entry 2 Lo Christabel · CIK 0001685792 · Chief People Officer 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 13:38 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 12,056 | $0.00 Strike: $14.88 | $0.00 |
DisclosureSEC source: 0001127602-16-065978 · form4.xml · derivative · entry 1 Lo Christabel · CIK 0001685792 · Chief People Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,056 Underlying: Common Stock · 12,056 shares Expires 2021-02-04 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.