Wang Warton's Form 4 filing
Yum China Holdings, Inc. (YUMC) · filed Nov 8, 2022
- Accession no.
- 0001127602-22-025056
- Filed
- Nov 8, 2022
- Trade date
- Nov 4, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $231.8K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Wang WartonCIK 0001926703 | Officer (General Manager, KFC) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 4, 2022 | Common Stock | MOption exerciseAcquired | +7,539 | $19.00 | +$143,241 | 8,915 | Direct | |
| Nov 4, 2022 | Common Stock | SSaleDisposed | −4,666 | $49.68F1 | −$231,806.88 | 4,249 | Direct | |
| Nov 4, 2022 | Common Stock | DReturned to the companyDisposed | −2,873 | $49.86 | −$143,247.78 | 1,376 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 4, 2022 | Common Stock | MOption exerciseDisposed | −7,539 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was executed in multiple trades at prices ranging from $49.63 to $49.73. 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.
Referenced by the price of 1 transaction in Table I.