Form 4 for YUMC Yum China Holdings, Inc.
Accepted 2023-05-15 00:00:00 ET · period of report 2023-05-11 · accession 0001127602-23-015485 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-05-15 | 2023-05-11 | YUMC | Wat Joey | CEO, Dir | M - OptEx | $24.60 | +158.0K | 413.1K | +62% | +$3.89M |
| DM | 2023-05-15 | 2023-05-11 | YUMC | Wat Joey | CEO, Dir | D - Sale to Iss | $61.90 | -62.8K | 304.0K | -17% | -$3.89M |
| DM | 2023-05-15 | 2023-05-11 | YUMC | Wat Joey | CEO, Dir | S - Sale+OE | $61.94 | -95.2K | 317.9K | -23% | -$5.89M |
| DM | 2023-05-15 | 2023-05-11 | YUMC | Wat Joey | CEO, Dir | M - OptEx | $0.00 | -158.0K | 80.2K | -66% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-05-11 | M | A | 3,905 | $22.32 | 259,049 | D | — | — | |
| 2 | Common | Common Stock | 2023-05-11 | D | D | 13,550 | $61.90 | 255,144 | D | — | — | |
| 3 | Common | Common Stock | 2023-05-11 | D | D | 21,291 | $61.90 | 268,694 | D | — | — | |
| 4 | Common | Common Stock | 2023-05-11 | D | D | 14,057 | $61.90 | 289,985 | D | — | — | |
| 5 | Common | Common Stock | 2023-05-11 | M | A | 32,309 | $23.90 | 291,358 | D | — | — | |
| 6 | Common | Common Stock | 2023-05-11 | M | A | 41,316 | $21.06 | 332,674 | D | — | — | |
| 7 | Common | Common Stock | 2023-05-11 | M | A | 48,846 | $26.98 | 381,520 | D | — | — | |
| 8 | Common | Common Stock | 2023-05-11 | M | A | 31,577 | $26.56 | 413,097 | D | — | — | |
| 9 | Common | Common Stock | 2023-05-11 | S | D | 2,496 | $61.94 | 410,601 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $61.90 to $62.04. 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. |
| 10 | Common | Common Stock | 2023-05-11 | S | D | 19,834 | $61.94 | 390,767 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $61.90 to $62.04. 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. |
| 11 | Common | Common Stock | 2023-05-11 | S | D | 27,259 | $61.94 | 363,508 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $61.90 to $62.04. 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. |
| 12 | Common | Common Stock | 2023-05-11 | S | D | 27,555 | $61.94 | 335,953 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $61.90 to $62.04. 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. |
| 13 | Common | Common Stock | 2023-05-11 | S | D | 18,027 | $61.94 | 317,926 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $61.90 to $62.04. 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. |
| 14 | Common | Common Stock | 2023-05-11 | D | D | 1,409 | $61.90 | 316,517 | D | — | — | |
| 15 | Common | Common Stock | 2023-05-11 | D | D | 12,475 | $61.90 | 304,042 | D | — | — | |
| 16 | Derivative | Stock Appreciation Right | 2023-05-11 | M | D | 3,905 | $0.00 | 0 | D | $22.32 · — to 2025-02-06 | 3,905 Common Stock | (F2) Vested in full. |
| 17 | Derivative | Stock Appreciation Right | 2023-05-11 | M | D | 32,309 | $0.00 | 0 | D | $23.90 · — to 2025-03-25 | 32,309 Common Stock | (F2) Vested in full. |
| 18 | Derivative | Stock Appreciation Right | 2023-05-11 | M | D | 41,316 | $0.00 | 0 | D | $21.06 · — to 2026-02-05 | 41,316 Common Stock | (F2) Vested in full. |
| 19 | Derivative | Stock Appreciation Right | 2023-05-11 | M | D | 48,846 | $0.00 | 0 | D | $26.98 · — to 2026-11-11 | 48,846 Common Stock | (F2) Vested in full. |
| 20 | Derivative | Stock Appreciation Right | 2023-05-11 | M | D | 31,577 | $0.00 | 80,197 | D | $26.56 · — to 2027-02-10 | 31,577 Common Stock | (F2) Vested in full. |