Yum China (YUMC) Form 3 Yum China / Aiken Yuen ownership change

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^*

Yuen Aiken

(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)
03/01/2018

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)

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)	02/04/2021	Common Stock	2,713	14.88	D
Stock Appreciation Right	(1)	02/06/2023	Common Stock	3,591	19	D
Stock Appreciation Right	(1)	02/08/2022	Common Stock	2,290	19.46	D
Stock Appreciation Right	(2)	02/05/2026	Common Stock	4,614	21.06	D
Stock Appreciation Right	(1)	02/05/2024	Common Stock	3,602	21.3	D
Stock Appreciation Right	(2)	02/06/2025	Common Stock	8,120	22.32	D
Stock Appreciation Right	(2)	02/10/2027	Common Stock	11,364	26.56	D
Stock Appreciation Right	(2)	02/09/2028	Common Stock	16,863	40.29	D
Stock Appreciation Right	(1)	02/05/2019	Common Stock	2,337	8.84	D
Stock Appreciation Right	(1)	02/05/2020	Common Stock	2,690	9.96	D
Restricted Stock Unit	(3)	(4)	Common Stock	5,659	(5)	D

Explanation of Responses:

1. Vested in full.

2. Vesting occurs 25% per year beginning one year from grant date.

3. Vesting will occur 100% on the third anniversary of the grant date.

4. This grant does not have an expiration date.

5. Conversion occurs on a one-for-one basis.

	/s/ Pingping Liu, Power of Attorney	03/07/2018
	** 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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