S-8 1 yum401ks-8.htm YUM! BRANDS, INC. 401(K) PLAN FORM S-8 content="text/html; charset=iso-8859-1"> YUM! Brands, Inc. Form S-8 (401(k) Plan)

 

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SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

_______________

 

FORM S-8

REGISTRATION STATEMENT

Under

THE SECURITIES ACT OF 1933

_______________

 

YUM! BRANDS, INC.

(Exact name of registrant as specified in its charter)

 

North Carolina

13-3951308

(State or other jurisdiction

(I.R.S. Employer

of incorporation or organization)

Identification No.)

 

1441 Gardiner Lane

Louisville, Kentucky 40213

(Address of Principal Executive Offices, including Zip Code)

_______________

 

YUM! Brands 401(k) Plan

(Full title of the plan)

_______________

 

Christian L. Campbell, Esq.

Senior Vice President, General Counsel and Secretary

Chief Franchise Policy Officer

YUM! Brands, Inc.

1441 Gardiner Lane

Louisville, Kentucky 40213

(Name and address of agent for service)

_______________

(502) 874-8300

(Telephone number, including area code, of agent for service)

_______________

 

 

CALCULATION OF REGISTRATION FEE

Title of
securities to
be registered

Amount
to be
registered

Proposed
maximum
offering
price per
share(1)

Proposed
maximum
aggregate
offering
price(1)

Amount of
registration
fee

Common Stock, no par value ……

3,500,000
shares

$29.43

$103,005,000

$8,333.10

Preferred Stock Purchase Rights (2) ...

None

None

None

None

 

(1) Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(h)(1), based upon the average of the high and low prices of the Common Stock as reported on The New York Stock Exchange Composite Tape on September 26, 2003.
(2) Any value attributable to the Preferred Stock Purchase Rights is reflected in the value of the Common Stock. Because no separate consideration is paid for the Preferred Stock Purchase Rights, the registration fee for such securities is included in the fee for the Common Stock.
   

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INCORPORATION OF PRIOR REGISTRATION STATEMENT BY REFERENCE

 
 
        Pursuant to General Instruction E of Form S-8, the contents of the Registrant's previously-filed registration statement on Form S-8 (File No. 333-36893) relating to the YUM! Brands 401(k) Plan (formerly Tricon Long Term Savings Program) are incorporated herein by reference.

 


 

SIGNATURES

 
        Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Louisville, Commonwealth of Kentucky, on the 30th day of September, 2003.
 
  YUM! BRANDS, INC.
   
  By: /s/ Christian L. Campbell                      
        Christian L. Campbell
      Senior Vice President,
      General Counsel and Secretary
      Chief Franchise Policy Officer
   
        Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the date indicated.

 

Signature   Title Date
       
  *    
David C. Novak                                   Chairman of the Board, September 30, 2003
David C. Novak   Chief Executive Officer  
      and President  
      (Principal Executive Officer)  
       
  *    
Andrall E. Pearson                              Founding Chairman September 30, 2003
Andrall E. Pearson      
       
  *    
David J. Deno                                       Chief Financial Officer September 30, 2003
David J. Deno   (Principal Financial  
    Officer)  
       
  *    
Brent A. Woodford                             Vice President and Controller September 30, 2003
Brent A. Woodford   (Principal Accounting Officer)  
       
  *    
James Dimon                                        Director September 30, 2003
James Dimon      
       
       
                                                              Director  
Massimo Ferragamo      
       
  *    
J. David Grissom                                 Director September 30, 2003
J. David Grissom      
       
       
                                                              Director  
Bonnie G. Hill      
       
  *    
Robert Holland, Jr.                            Director September 30, 2003
Robert Holland, Jr.      
       
  *    
Sidney Kohl                                         Director September 30, 2003
Sidney Kohl      
       
  *    
Kenneth G. Langone                         Director September 30, 2003
Kenneth G. Langone      
       
  *    
Thomas M. Ryan                                Director September 30, 2003
Thomas M. Ryan      
       
  *    
Jackie Trujillo                                     Director September 30, 2003
Jackie Trujillo      
       
       
                                                              Director  
Robert J. Ulrich      
       
       
*By:  /s/ John P. Daly                           
          John P. Daly      
         Attorney-in-Fact      
       

 


 

INDEX TO EXHIBITS

     
Exhibit
Number
  Description of Exhibits
     
4.1 -- Restated Articles of Incorporation of the Registrant (incorporated herein by reference to Exhibit 3.1 filed with the Registrant's Annual Report on Form 10-K for the fiscal year ended December 26, 1998, as amended by Amendment Number 1 thereto on Form 10-K/A filed on March 24, 1999 (File No. 1-13163), filed under the Securities Exchange Act of 1934)
     
4.2 -- Bylaws of the Registrant (incorporated herein by reference to Exhibit 3.2 filed with the Registrant's Annual Report on Form 10-K for the fiscal year ended December 26, 1998, as amended by Amendment Number 1 thereto on Form 10-K/A filed on March 24, 1999 (File No. 1-13163), filed under the Securities Exchange Act of 1934)
     
4.3 -- Rights Agreement, dated as of July 21, 1998, between the Registrant and BankBoston, N.A., as Rights Agent (incorporated herein by reference to Exhibit 4.01 filed with the Registrant's Quarterly Report on Form 10-Q for the quarter ended June 13, 1998)
     
5.1 -- Opinion and consent of Christian L. Campbell, Senior Vice President, General Counsel and Secretary, Chief Franchise Policy Officer of the Registrant
     
23.1 -- Consent of Christian L. Campbell, Senior Vice President, General Counsel and Secretary, Chief Franchise Policy Officer of the Registrant (included in Exhibit 5.1)
     
23.2 -- Consent of KPMG LLP
     
24.1 -- Powers of attorney