Catlett Scott's Form 4 filing
Yum Brands Inc (YUM) · filed May 1, 2023
- Accession no.
- 0001127602-23-013976
- Filed
- May 1, 2023
- Trade date
- Apr 28, 2023
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $357.4K. It was filed 3 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 |
|---|---|
| Catlett ScottCIK 0001744665 | Officer (Chief Legal &Franchise Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Apr 28, 2023 | Common Stock | SSaleDisposed | −378 | $140.00 | −$52,920 | 11,724.41 | Direct | |
| Apr 28, 2023 | Common Stock | SSaleDisposed | −2,175 | $140.00 | −$304,500 | 12,102.41 | Direct | |
| Apr 28, 2023 | Common Stock | DReturned to the companyDisposed | −1,218 | $140.00 | −$170,520 | 14,277.41 | Direct | |
| Apr 28, 2023 | Common Stock | MOption exerciseAcquired | +3,393 | $50.22 | +$170,396.46 | 15,495.41 | 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 28, 2023 | Common Stock | MOption exerciseDisposed | −3,393 | $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.
No transaction price on this filing refers to a footnote.