0001127602-16-065994.txt : 20161103 0001127602-16-065994.hdr.sgml : 20161103 20161103140543 ACCESSION NUMBER: 0001127602-16-065994 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161101 FILED AS OF DATE: 20161103 DATE AS OF CHANGE: 20161103 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Yum China Holdings, Inc. CENTRAL INDEX KEY: 0001673358 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 812421743 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7100 CORPORATE DRIVE CITY: PLANO STATE: TX ZIP: 75024 BUSINESS PHONE: (888)298-6986 MAIL ADDRESS: STREET 1: 7100 CORPORATE DRIVE CITY: PLANO STATE: TX ZIP: 75024 FORMER COMPANY: FORMER CONFORMED NAME: Yum! China Holding, Inc. DATE OF NAME CHANGE: 20160428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINEN JONATHAN S CENTRAL INDEX KEY: 0001188723 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37762 FILM NUMBER: 161971094 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-11-01 0001673358 Yum China Holdings, Inc. YUMC 0001188723 LINEN JONATHAN S 6830 NORTH OCEAN BLVD SM #3 OCEAN RIDGE FL 33435 1 Stock Appreciation Right 9.98 2016-11-01 4 A 0 3630 0 A 2019-11-03 Common Stock 3630 3630 D Stock Appreciation Right 11.66 2016-11-01 4 A 0 3464 0 A 2017-11-06 Common Stock 3464 3464 D Stock Appreciation Right 15.26 2016-11-01 4 A 0 3160 0 A 2020-11-02 Common Stock 3160 3160 D Stock Appreciation Right 15.89 2016-11-01 4 A 0 2834 0 A 2021-11-01 Common Stock 2834 2834 D Stock Appreciation Right 22.08 2016-11-01 4 A 0 2171 0 A 2022-11-06 Common Stock 2171 2171 D Stock Appreciation Right 21.20 2016-11-01 4 A 0 2126 0 A 2023-11-05 Common Stock 2126 2126 D Stock Appreciation Right 21.06 2016-11-01 4 A 0 3099 0 A 2026-02-05 Common Stock 3099 3099 D Phantom Stock 2016-11-01 4 A 0 2866 0 A Common Stock 2866 2866 D Phantom Stock 2016-11-01 4 A 0 2360 0 A Common Stock 2360 2360 D Phantom Stock 2016-11-01 4 A 0 2374 0 A Common Stock 2374 2374 D Phantom Stock 2016-11-01 4 A 0 2507 0 A Common Stock 2507 2507 D Phantom Stock 2016-11-01 4 A 0 2957 0 A Common Stock 2957 2957 D Phantom Stock 2016-11-01 4 A 0 3423 0 A Common Stock 3423 3423 D Phantom Stock 2016-11-01 4 A 0 3935 0 A Common Stock 3935 3935 D Phantom Stock 2016-11-01 4 A 0 4788 0 A Common Stock 4788 4788 D Phantom Stock 2016-11-01 4 A 0 3443 0 A Common Stock 3443 3443 D Phantom Stock 2016-11-01 4 A 0 4600 0 A Common Stock 4600 4600 D Phantom Stock 2016-11-01 4 A 0 4145 0 A Common Stock 4145 4145 D Phantom Stock 2016-11-01 4 A 0 1109 0 A Common Stock 1109 1109 D Stock Appreciation Right 9.24 2016-11-01 4 A 0 3835 0 A 2018-11-04 Common Stock 3835 3835 D Stock Appreciation Right 21.75 2016-11-01 4 A 0 2088 0 A 2024-11-04 Common Stock 2088 2088 D Vested in full. Conversion occurs on a one-for-one basis. Distribution occurs upon separation of employment. This grant does not have a specified expiration date. The transactions reported on this Form 4 (the "Reported Awards") represent awards made to the Reporting Person pursuant to the terms of the Employee Matters Agreement between the Issuer and YUM! Brands, Inc. dated as of October 31, 2016. Each Reported Award represents the conversion of an award previously granted to the Reporting Person by YUM! Brands, Inc. The Employee Matters Agreement was entered into in connection with the spin-off (the "Spin-Off") of the Issuer from YUM! Brands, Inc. The Reporting Person is also the beneficial owner of 34,704 shares of Common Stock, which shares were acquired by the Reporting Person pursuant to the Spin-Off in a transaction exempt from reporting pursuant to Rule 16a-9. /s/ Pingping Liu, Power of Attorney 2016-11-03 EX-24 2 doc1.txt POWER OF ATTORNEY (PUBLIC): LINEN POA POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Shella Ng, Pingping Liu, Ruonan You and M. Gayle Hobson signing singly, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Yum China Holdings, Inc. (the ?Company?), Form 144 in under Rule 144 of the Securities Act of 1933 and Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 144, 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in- fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934 or Rule 144 of the Securities Act of 1933. This Power of Attorney shall remain in full force and effect until the undersigned no longer is required to file Forms 144, 3, 4, and 5 and with respect to the undersigned?s holdings of and transactions in securities issued by the Company unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact, except, however, that M. Gayle Hobson will no longer be appointed attorney-in-fact under this Power of Attorney as of November 1, 2016. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 28th day of September, 2016. /s/Jonathan Linen