-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, STICV6w52ycdg6AZN/aA/700Je+41yHNUR4dFTiVDsNojGwrj0a/Ipqws5V4juzB TrcVFygZxlBvdsYygz8YMA== 0001041061-09-000150.txt : 20090430 0001041061-09-000150.hdr.sgml : 20090430 20090430121009 ACCESSION NUMBER: 0001041061-09-000150 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090429 FILED AS OF DATE: 20090430 DATE AS OF CHANGE: 20090430 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOVAK DAVID C CENTRAL INDEX KEY: 0001211696 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13163 FILM NUMBER: 09782070 MAIL ADDRESS: STREET 1: 1441 GARDINER LANE CITY: LOUISVILLE STATE: KY ZIP: 40213 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: YUM BRANDS INC CENTRAL INDEX KEY: 0001041061 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 133951308 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1441 GARDINER LANE CITY: LOUISVILLE STATE: KY ZIP: 40213 BUSINESS PHONE: 5028748300 MAIL ADDRESS: STREET 1: 1900 COLONEL SANDERS LANE CITY: LOUISVILLE STATE: KY ZIP: 40213 FORMER COMPANY: FORMER CONFORMED NAME: TRICON GLOBAL RESTAURANTS INC DATE OF NAME CHANGE: 19970627 FORMER COMPANY: FORMER CONFORMED NAME: GREAT AMERICAN RESTAURANT CO DATE OF NAME CHANGE: 19970618 4 1 doc4.xml PRIMARY DOCUMENT X0303 4 2009-04-29 0 0001041061 YUM BRANDS INC YUM 0001211696 NOVAK DAVID C 1441 GARDINER LANE LOUISVILLE KY 40213 1 1 0 0 Chair CEO and Pres Common Stock 2009-04-29 2009-04-29 4 M 0 252544.00 8.6172 A 452274.08 D Common Stock 2009-04-29 2009-04-29 4 S 0 252544.00 33.95 D 199730.08 D Common Stock 2009-04-29 2009-04-29 4 M 0 422456.00 8.3913 A 622186.08 D Common Stock 2009-04-29 2009-04-29 4 S 0 422456.00 33.95 D 199730.08 D Common Stock 2009-04-30 2009-04-30 4 M 0 590504.00 8.3913 A 790234.08 D Common Stock 2009-04-30 2009-04-30 4 S 0 590504.00 34.17 D 199730.08 D Common Stock 29918.00 I 401(k) plan Employee Stock Option (right to buy) 8.6172 2009-04-29 2009-04-29 4 M 0 252544.00 8.6172 D 2001-11-18 2011-01-25 Common Stock 252544.00 0.00 D Employee Stock Option (right to buy) 8.3913 2009-04-29 2009-04-29 4 M 0 422456.00 8.3913 D 2005-01-25 2011-01-25 Common Stock 422456.00 590504.00 D Employee Stock Option (right to buy) 8.3913 2009-04-30 2009-04-30 4 M 0 590504.00 8.3913 D 2005-01-25 2011-01-25 Common Stock 590504.00 0.00 D This transaction was executed in multiple trades at prices ranging from $33.59 to $34.31 The price reported above reflects the average sale price. The reporting person hereby undertakes to provide upon request, to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $34.00 to $34.56 The price reported above reflects the average sale price. The reporting person hereby undertakes to provide upon request, to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. David C. Novak 2009-04-30 -----END PRIVACY-ENHANCED MESSAGE-----