Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-19-028628
Date:2019-09-17
Issuer: YUM CHINA HOLDINGS, INC. (YUMC)
Original Submission Date:

Reporting Person:

HUANG JOHNSON
YUM CHINA BUILDING
20 TIAN YAO QIAO ROAD SHANGHAI, F4 200030

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNIT 0.0 2019-09-17 deemed execution date A 12 (a) common stock 12 $0.00 4,734 direct
RESTRICTED STOCK UNIT 0.0 2019-09-17 deemed execution date A 53 (a) common stock 53 $0.00 20,647 direct
RESTRICTED STOCK UNIT 0.0 2019-09-17 deemed execution date A 28 (a) common stock 28 $0.00 11,132 direct
RESTRICTED STOCK UNIT 0.0 2019-09-17 deemed execution date A 27 (a) common stock 27 $0.00 10,649 direct
Footnotes
IDfootnote
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 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.
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 100% on the fourth 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.
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 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.
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