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  4. [144] Yum China Holdings, Inc. SEC Filing

YUM China Holdings (YUMC) shareholder files Form 144 for future stock sales

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
144

Rhea-AI Filing Summary

A shareholder associated with Merrill at 8890 Lyra Dr, Columbus, Ohio has filed to sell YUM China Holdings common stock under Form 144. The planned transactions involve shares obtained through equity compensation events, including 5,313 shares from a stock appreciation right exercise dated November 11, 2016 and 4,961 shares from a stock appreciation right exercise dated February 10, 2017, with a proposed sale date of August 12, 2026 on the NYSE. Additional shares come from restricted stock vesting on January 4, 2017, January 4, 2018, and November 11, 2018, including 1,373 shares and 1,353 shares tied to those vesting dates.

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Shares from 11/11/2016 SAR exercise 5,313 shares Common stock from stock appreciation right exercise dated 11/11/2016
Shares from 02/10/2017 SAR exercise 4,961 shares Common stock from stock appreciation right exercise dated 02/10/2017
Shares from 01/04/2017 RS vesting 1,373 shares Common stock from restricted stock vesting on 01/04/2017
Shares from 01/04/2018 RS vesting 1,353 shares Common stock from restricted stock vesting on 01/04/2018
Shares from 11/11/2018 RS vesting 1,586 shares Common stock from restricted stock vesting on 11/11/2018
Proposed sale date 08/12/2026 Proposed sale date for common stock on NYSE
Form 144 regulatory
"A shareholder has filed to sell YUM China Holdings common stock under Form 144"
Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.
Stock Appreciation Right financial
"shares obtained through equity compensation events, including 5,313 shares from a stock appreciation right exercise"
A stock appreciation right (SAR) is a form of employee pay that gives the holder the right to receive the increase in a company's share price over a set reference price, paid in cash or shares, without having to buy stock first. It matters to investors because SARs can create future cash outflows or dilute existing shareholders if settled in stock, and they align employee incentives with share-price performance like a bonus tied to a home's price rise.
Restricted Stock Vesting financial
"Additional shares come from restricted stock vesting on January 4, 2017, January 4, 2018, and November 11, 2018"
Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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FAQ

What does YUMC's Form 144 filing disclose?
The Form 144 discloses a planned sale of YUM China Holdings common stock by a shareholder using Merrill as broker, with shares sourced from prior stock appreciation right exercises and restricted stock vesting events and a proposed sale date of August 12, 2026.

How many YUMC shares from SAR exercises are referenced in the Form 144?
The filing references 5,313 shares from a stock appreciation right exercise dated November 11, 2016 and 4,961 shares from a stock appreciation right exercise dated February 10, 2017, both relating to YUM China Holdings common stock.

What restricted stock vesting events for YUMC are listed in the Form 144?
The filing lists YUM China restricted stock vesting on January 4, 2017, January 4, 2018, and November 11, 2018, including 1,373 shares tied to the January 4, 2017 vesting and 1,353 shares tied to the January 4, 2018 vesting.

On which exchange are the YUMC shares proposed to be sold?
The YUM China Holdings common shares referenced in the Form 144 are proposed to be sold on the NYSE on or around the referenced proposed sale date of August 12, 2026.

What is the role of Merrill in the YUMC Form 144 filing?
Merrill, listed at 8890 Lyra Dr, 5th Floor, Columbus, OH 43240, appears as the brokerage firm associated with the proposed sale of YUM China Holdings common stock described in the Form 144.

144: Filer Information

144: Issuer Information

144: Securities Information



Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold


* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.



Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

144: Remarks and Signature

Source: View Original Filing on SEC EDGAR