SEC Filing | Yum China Holdings, Inc.

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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

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
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.
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