SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
DING Jerry

(Last) (First) (Middle)
YUM CHINA BUILDING
20 TIAN YAO QIAO ROAD

(Street)
SHANGHAI F4 200030

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/29/2024
3. Issuer Name and Ticker or Trading Symbol
Yum China Holdings, Inc. [ YUMC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief People Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 1,806 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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) 02/07/2030 Common Stock 4,292 42.71 D
Stock Appreciation Right (2) 02/05/2031 Common Stock 5,198 57.39 D
Restricted Stock Unit (3) (4) Common Stock 692 (5) D
Stock Appreciation Right (3) 02/10/2032 Common Stock 4,175 50.16 D
Restricted Stock Unit (6) (4) Common Stock 3,680 (5) D
Restricted Stock Unit (7) (4) Common Stock 1,160 (5) D
Stock Appreciation Right (7) 02/09/2033 Common Stock 3,855 62.14 D
Restricted Stock Unit (8) (4) Common Stock 4,414 (5) D
Explanation of Responses:
1. Vested in full.
2. Vesting occurs 25% per year beginning one year from 02/05/2021.
3. Vesting occurs 25% per year beginning one year from 02/10/2022.
4. This grant does not have an expiration date.
5. Conversion occurs on a one-for-one basis.
6. Vesting occurs 1/3 per year beginning one year from 09/01/2023.
7. Vesting occurs 25% per year beginning one year from 02/09/2023.
8. Vesting occurs 1/3 per year beginning one year from 02/08/2024.
/s/ Ling Zhang, Power of Attorney 03/08/2024
** 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 Number.