Hu Fred 4
4 · Yum China Holdings, Inc. · Filed Nov 3, 2017
Insider Transaction Report
Form 4
Hu Fred
Director
Transactions
- Award
Common Stock, par value $0.01
2017-11-01+5,891→ 14,601 total
Holdings
- 16,364,778(indirect: See Footnote)
Common Stock, par value $0.01
- 7,309,057(indirect: See Footnote)
Warrant 1
Exercise: $31.40From: 2017-01-09Exp: 2021-11-01→ Common Stock, par value $0.01 per share (7,309,057 underlying) - 7,309,057(indirect: See Footnote)
Warrant 2
Exercise: $39.25From: 2017-01-09Exp: 2021-11-01→ Common Stock, par value $0.01 per share (7,309,057 underlying)
Footnotes (1)
- [F1]The common stock is held directly by Pollos Investment L.P. ("Pollos Investment") and the warrants are held directly by Pollos Upside L.P. ("Pollos Upside"). The limited partnership interests of both Pollos Investment and Pollos Upside are ultimately owned by a private fund ("Fund") for which an affiliate of the Reporting Person is special limited partner ("Special Limited Partner") and has a contingent right to receive a performance fee. The Reporting Person is a shareholder of the parent company of the general partner of the Special Limited Partner (the "Parent Company") and may be deemed to have pecuniary interest through his indirect entitlement to receive a share of any Fund performance fee.