Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Yum China Holdings, Inc.YUMC · Entity 1255 | Senior Advisor to CEO | December 21, 2017 | December 26, 2017 |
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 December 21, 2017 · Filed December 26, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 13,994 |
Reported balance
After 2017-12-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-12-21 · Grant · Acquired 34 · Balance 13,994 F1: Conversion occurs on a one-for-one basis. F2: 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: This grant does not have an expiration date. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 13,933 |
Reported balance
After 2017-12-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-12-21 · Grant · Acquired 33 · Balance 13,933 F1: Conversion occurs on a one-for-one basis. F4: 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: 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: 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: This grant does not have an expiration date.
F4: 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.
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 |
|---|---|---|---|---|---|---|
| December 21, 2017 Filed Dec 26, 2017 16:22 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 33 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035479 · form4.xml · derivative · entry 2 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,933 Underlying: Common Stock · 33 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 16:22 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 34 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035479 · form4.xml · derivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 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 |
| August 17, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 8,110 | $38.00 | $308,180.00 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · nonDerivative · entry 7 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 20,000 | $0.00 Strike: $19.46 | $0.00 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · derivative · entry 9 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,886 Underlying: Common Stock · 20,000 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 |
| August 16, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 20,602 | $0.00 Strike: $14.88 | $0.00 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · derivative · entry 8 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,602 shares Expires 2021-02-04 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 |
| August 16, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 1,647 | $38.00 | $62,586.00 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · nonDerivative · entry 6 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,965 Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 10,243 | $38.00 | $389,234.00 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · nonDerivative · entry 5 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,612 Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 20,000 | $19.46 | $389,200.00 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · nonDerivative · entry 4 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,855 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 |
| August 16, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 12,427 | $37.50 | $466,012.50 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · nonDerivative · entry 3 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 8,175 | $37.50 | $306,562.50 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · nonDerivative · entry 2 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,282 Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 15:24 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 20,602 | $14.88 | $306,557.76 |
DisclosureSEC source: 0001127602-17-026026 · form4.xml · nonDerivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,457 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 26, 2017 Filed Apr 27, 2017 18:37 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 20,000 | $0.00 Strike: $14.88 | $0.00 |
DisclosureSEC source: 0001127602-17-015800 · form4.xml · derivative · entry 4 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,602 Underlying: Common Stock · 20,000 shares Expires 2021-02-04 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 |
| April 26, 2017 Filed Apr 27, 2017 18:37 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 11,272 | $34.10 | $384,375.20 |
DisclosureSEC source: 0001127602-17-015800 · form4.xml · nonDerivative · entry 3 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 Read SEC document |
| April 26, 2017 Filed Apr 27, 2017 18:37 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 8,728 | $34.10 | $297,624.80 |
DisclosureSEC source: 0001127602-17-015800 · form4.xml · nonDerivative · entry 2 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,127 Read SEC document |
| April 26, 2017 Filed Apr 27, 2017 18:37 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 20,000 | $14.88 | $297,600.00 |
DisclosureSEC source: 0001127602-17-015800 · form4.xml · nonDerivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,855 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 25, 2017 Filed Apr 26, 2017 19:39 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 20,000 | $0.00 Strike: $14.88 | $0.00 |
DisclosureSEC source: 0001127602-17-015592 · form4.xml · derivative · entry 4 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,602 Underlying: Common Stock · 20,000 shares Expires 2021-02-04 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 |
| April 25, 2017 Filed Apr 26, 2017 19:39 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 11,142 | $33.60 | $374,424.68 |
DisclosureSEC source: 0001127602-17-015592 · form4.xml · nonDerivative · entry 3 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 F1 · price: This transaction was executed in multiple trades at prices ranging from $33.60 to $33.63. 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 |
| April 25, 2017 Filed Apr 26, 2017 19:39 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 8,858 | $33.60 | $297,628.80 |
DisclosureSEC source: 0001127602-17-015592 · form4.xml · nonDerivative · entry 2 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,997 Read SEC document |
| April 25, 2017 Filed Apr 26, 2017 19:39 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 20,000 | $14.88 | $297,600.00 |
DisclosureSEC source: 0001127602-17-015592 · form4.xml · nonDerivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,855 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 13, 2017 Filed Apr 17, 2017 08:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionStock Appreciation Right · Derivative | 30,000 | $0.00 Strike: $14.88 | $0.00 |
DisclosureSEC source: 0001127602-17-014766 · form4.xml · derivative · entry 4 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,602 Underlying: Common Stock · 30,000 shares Expires 2021-02-04 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 |
| April 13, 2017 Filed Apr 17, 2017 08:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 16,472 | $33.00 | $543,576.00 |
DisclosureSEC source: 0001127602-17-014766 · form4.xml · nonDerivative · entry 3 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 08:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Disposition to issuerCommon Stock | 13,528 | $33.00 | $446,424.00 |
DisclosureSEC source: 0001127602-17-014766 · form4.xml · nonDerivative · entry 2 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,327 Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 08:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 30,000 | $14.88 | $446,400.00 |
DisclosureSEC source: 0001127602-17-014766 · form4.xml · nonDerivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,855 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 11, 2017 Filed Apr 13, 2017 15:54 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | SaleCommon Stock | 5,799 | $32.50 | $188,467.50 |
DisclosureSEC source: 0001127602-17-014714 · form4.xml · nonDerivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 F1 · shares: 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 20:55 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 37,258 | $0.00 Strike: $26.56 | $0.00 |
DisclosureSEC source: 0001127602-17-005617 · form4.xml · derivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 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 11:53 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 4,687 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-001244 · form4.xml · derivative · entry 3 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 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 11:53 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 1,832 | $26.62 | $48,767.84 |
DisclosureSEC source: 0001127602-17-001244 · form4.xml · nonDerivative · entry 2 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,855 Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 11:53 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 4,687 | $26.62 | $124,767.94 |
DisclosureSEC source: 0001127602-17-001244 · form4.xml · nonDerivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 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 13:21 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 13,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-067128 · form4.xml · derivative · entry 2 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,900 Underlying: Common Stock · 13,900 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 13:21 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 36,635 | $0.00 Strike: $26.98 | $0.00 |
DisclosureSEC source: 0001127602-16-067128 · form4.xml · derivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,635 Underlying: Common Stock · 36,635 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 13:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 40,886 | $0.00 Strike: $19.46 | $0.00 |
DisclosureSEC source: 0001127602-16-065966 · form4.xml · derivative · entry 7 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,886 Underlying: Common Stock · 40,886 shares Expires 2022-02-08 F1 · derivative.exercise_date: Vested in full. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 13:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 18,647 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-065966 · form4.xml · derivative · entry 6 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 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 13:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 17,215 | $0.00 Strike: $21.06 | $0.00 |
DisclosureSEC source: 0001127602-16-065966 · form4.xml · derivative · entry 5 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,215 Underlying: Common Stock · 17,215 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 13:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 16,914 | $0.00 Strike: $22.32 | $0.00 |
DisclosureSEC source: 0001127602-16-065966 · form4.xml · derivative · entry 4 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,914 Underlying: Common Stock · 16,914 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 13:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 33,986 | $0.00 Strike: $21.30 | $0.00 |
DisclosureSEC source: 0001127602-16-065966 · form4.xml · derivative · entry 3 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,986 Underlying: Common Stock · 33,986 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 13:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 37,408 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0001127602-16-065966 · form4.xml · derivative · entry 2 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,408 Underlying: Common Stock · 37,408 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 13:15 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 90,602 | $0.00 Strike: $14.88 | $0.00 |
DisclosureSEC source: 0001127602-16-065966 · form4.xml · derivative · entry 1 Chu Mark · CIK 0001685842 · Senior Advisor to CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,602 Underlying: Common Stock · 90,602 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.