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 | December 19, 2023 | December 21, 2023 |
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 19, 2023 · Filed December 21, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 26,882 |
Reported balance
After 2023-12-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-12-19 · Grant · Acquired 84 · Balance 26,882 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 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: This grant does not have an expiration date. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 3,658 |
Reported balance
After 2023-12-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-12-19 · Grant · Acquired 11 · Balance 3,658 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 1/4 per year beginning one year from the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest. F3: This grant does not have an expiration date. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 9,749 |
Reported balance
After 2023-12-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-12-19 · Grant · Acquired 30 · Balance 9,749 F1: Conversion occurs on a one-for-one basis. F5: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 1/3 per year beginning one year from the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest. F3: 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 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: 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 1/4 per year beginning one year from the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.
F5: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 1/3 per year beginning one year from the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest.
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 16, 2020 Filed Dec 18, 2020 19:49 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 14 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-032075 · form4.xml · derivative · entry 1 Chan Joseph · CIK 0001778809 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,959 Underlying: Common Stock · 14 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 1/3 per year beginning one year from the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest. F3 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| September 03, 2020 Filed Sep 4, 2020 07:32 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionRestricted Stock Unit · Derivative | 3,419 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024743 · form4.xml · derivative · entry 3 Chan Joseph · CIK 0001778809 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,945 Underlying: Common Stock · 3,419 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 1/3 per year beginning one year from 9/3/2019. F3 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| September 03, 2020 Filed Sep 4, 2020 07:32 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Tax withholdingCommon Stock | 1,063 | $55.92 | $59,442.96 |
DisclosureSEC source: 0001127602-20-024743 · form4.xml · nonDerivative · entry 2 Chan Joseph · CIK 0001778809 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,356 Read SEC document |
| September 03, 2020 Filed Sep 4, 2020 07:32 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | Exercise / conversionCommon Stock | 3,419 | $55.92 | $191,190.48 |
DisclosureSEC source: 0001127602-20-024743 · form4.xml · nonDerivative · entry 1 Chan Joseph · CIK 0001778809 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,419 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 25, 2020 Filed Mar 26, 2020 07:04 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 27 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011949 · form4.xml · derivative · entry 1 Chan Joseph · CIK 0001778809 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,364 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 1/3 per year beginning one year from the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest. F3 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| February 07, 2020 Filed Feb 10, 2020 09:12 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantStock Appreciation Right · Derivative | 29,931 | $0.00 Strike: $42.71 | $0.00 |
DisclosureSEC source: 0001127602-20-004448 · form4.xml · derivative · entry 1 Chan Joseph · CIK 0001778809 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,931 Underlying: Common Stock · 29,931 shares Expires 2030-02-07 F1 · derivative.exercise_date: Vesting occurs 25% per year beginning one year from 2/7/2020. Read SEC document |
| December 17, 2019 Filed Dec 18, 2019 08:04 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-035327 · form4.xml · derivative · entry 1 Chan Joseph · CIK 0001778809 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,337 Underlying: Common Stock · 25 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F2 · derivative.exercise_date: These units represent Restricted Stock Units issuable to the Reporting Person as a dividend equivalency payment with respect to Restricted Stock Units previously issued to the Reporting Person which vest 1/3 per year beginning one year from the grant date. The Restricted Stock Units reported herein shall vest on the same date and under the same terms as the underlying Restricted Stock Units with respect of which these dividend equivalency units vest. F3 · derivative.expiration_date: This grant does not have an expiration date. Read SEC document |
| September 03, 2019 Filed Sep 4, 2019 06:06 UTC | Yum China Holdings, Inc. YUMC · Entity 1255 | GrantRestricted Stock Unit · Derivative | 10,312 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027807 · form4.xml · derivative · entry 1 Chan Joseph · CIK 0001778809 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,312 Underlying: Common Stock · 10,312 shares Expires not disclosed F1 · derivative.exercise_price: Conversion occurs on a one-for-one basis. F2 · derivative.exercise_date: Vesting occurs 1/3 per year beginning one year from 9/3/2019 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.