Initial Statement of Beneficial Ownership (3)
March 06 2023 - 9:38AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HUANG Duoduo (Howard) |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/24/2023
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3. Issuer Name and Ticker or Trading Symbol
Yum China Holdings, Inc. [YUMC]
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(Last)
(First)
(Middle)
YUM CHINA BUILDING, 20 TIAN YAO QIAO ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Supply Chain Officer / |
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(Street)
SHANGHAI, F4 200030
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 277 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Appreciation Right | (1) | 2/5/2024 | Common Stock | 7076 | $21.30 | D | |
| Stock Appreciation Right | (1) | 2/5/2026 | Common Stock | 10408 | $21.60 | D | |
| Stock Appreciation Right | (1) | 2/6/2025 | Common Stock | 10225 | $22.32 | D | |
| Stock Appreciation Right | (1) | 2/10/2027 | Common Stock | 7638 | $26.56 | D | |
| Stock Appreciation Right | (1) | 2/9/2028 | Common Stock | 5785 | $40.29 | D | |
| Stock Appreciation Right | (2) | 2/7/2030 | Common Stock | 6438 | $42.71 | D | |
| Stock Appreciation Right | (3) | 2/10/2032 | Common Stock | 9645 | $50.16 | D | |
| Stock Appreciation Right | (4) | 2/5/2031 | Common Stock | 6411 | $57.39 | D | |
| Stock Appreciation Right | (1) | 2/7/2029 | Common Stock | 10479 | $41.66 | D | |
| Restricted Stock Unit | (5) | (6) | Common Stock | 907 | (7) | D | |
| Restricted Stock Unit | (8) | (6) | Common Stock | 6042 | (7) | D | |
| Restricted Stock Unit | (9) | (6) | Common Stock | 4828 | (7) | D | |
| Restricted Stock Unit | (10) | (6) | Common Stock | 4828 | (7) | D | |
| Explanation of Responses: |
| (1) | Vested in full. |
| (2) | Vesting occurs 25% per year beginning one year from 02/07/2020. |
| (3) | Vesting occurs 25% per year beginning one year from 02/10/2022. |
| (4) | Vesting occurs 25% per year beginning one year from 02/05/2021. |
| (5) | Vesting occurs 25% per year beginning one year from 02/10/2022. |
| (6) | This grant does not have an expiration date. |
| (7) | Conversion occurs on a one-for-one basis. |
| (8) | Vesting occurs 50% on the second anniversary of 02/10/2022 and the remaining 50% vesting occurs on the third anniversary of 02/10/2022. |
| (9) | Vesting occurs 1/3 per year beginning one year from 2/9/2023. |
| (10) | Vesting occurs 50% on the second anniversary of 02/09/2023 and the remaining 50% vesting occurs on the third anniversary of 02/09/2023. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
HUANG Duoduo (Howard)
YUM CHINA BUILDING
20 TIAN YAO QIAO ROAD
SHANGHAI, F4 200030 |
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| Chief Supply Chain Officer |
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Signatures
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| /s/ Pingping Liu, Power of Attorney | | 3/6/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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