Yum China (NYSE: YUMC) files Form 144 listing SAR sale and vested shares

Rhea-AI Filing Summary

Yum China Holdings submitted a Form 144 notice reporting proposed sales of Common stock tied to a SAR exercise and sale and multiple restricted stock vest events. The filing lists dated entries including 02/10/2017, 02/09/2021, 02/07/2022, 01/17/2023, 02/10/2023, 01/24/2024, and 02/05/2024, with sample share counts of 1,957 and 1,762.

Insights

Securities Attorney

Form 144 notifies the market of planned sales under Rule 144; it is procedural and does not itself execute sales.

Rule 144 notices list proposed sale methods and the securities involved, such as a SAR exercise and sale and vested restricted stock. The filing shows dated grants and sample share counts like 1,957 and 1,762.

Timing and actual transactions depend on holder decisions and compliance with Rule 144 conditions; subsequent filings will show completed sales if they occur.

Equity Markets Analyst

This filing signals potential near-term selling pressure from disclosed vested awards and an SAR sale.

The notice enumerates multiple vesting dates and a listed SAR exercise; two concrete share lines appear as 1,957 and 1,762, tied to specified grant dates. It does not show aggregate totals or sale proceeds.

Market impact will depend on whether and when the holder executes sales and on any volume limits imposed by Rule 144.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Merrill 8890 Lyra Dr 5th Flr Columbus OH 43240	23504	1312465.33	361419215	02/24/2025	NYSE

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

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	02/10/2017	SAR Exercise and sale	Yum China Holdings			1957	02/24/2026	Stock
Common	02/09/2021	Restricted sock vest	Yum China Holdings			1762	02/09/2021	na
Common	02/07/2022	Restricted sock vest	Yum China Holdings			2178	02/07/2022	na
Common	01/17/2023	Restricted sock vest	Yum China Holdings			2124	01/17/2023	na
Common	02/10/2023	Restricted sock vest	Yum China Holdings			226	02/10/2023	na
Common	01/24/2024	Restricted sock vest	Yum China Holdings			2566	01/24/2024	na
Common	02/05/2024	Restricted sock vest	Yum China Holdings			12691	02/05/2024	na

* 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

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Yum China (YUMC) Form 144 mean?

A Form 144 notifies the SEC and market of proposed sales under Rule 144. The filing lists sale methods such as a SAR exercise and sale and multiple restricted stock vest events dated between 02/10/2017 and 02/05/2024.

How many shares does the Yum China Form 144 list as examples?

The excerpt includes sample share counts of 1,957 and 1,762. These appear alongside dated entries in the securities-to-be-sold section and are shown as line items in the filing's table.

Does the Form 144 show completed sales for YUMC?

No; the Form 144 lists proposed sales and related grant/vesting dates. It does not report completed transactions or proceeds. Subsequent SEC filings would show actual sales if executed by the holder.

What types of securities are referenced in the filing for Yum China?

The filing references Common stock, a SAR exercise and sale, and several restricted stock vest entries tied to specific grant dates, as shown in the securities-to-be-sold section.