-----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, T5EVTQ27viwSSMwYBl2rXog73QhKEafaj/SqD0Xe2bBByFWjVVxXJ+XCbOUrL9x7 /a/JGD/8aHpRkJE+IgbgZw== 0001041061-03-000063.txt : 20030716 0001041061-03-000063.hdr.sgml : 20030716 20030716143521 ACCESSION NUMBER: 0001041061-03-000063 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030715 FILED AS OF DATE: 20030716 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: 03789023 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 X0101 4 2003-07-15 0 0001041061 YUM BRANDS INC YUM 0001211696 NOVAK DAVID C 1 1 0 0 Chair CEO and Pres Common Stock 2003-07-15 2003-07-15 4 M 0 35000.00 17.2344 A 107020.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 100.00 30.34 D 106920.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 6200.00 30.30 D 100720.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 100.00 30.28 D 100620.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 3400.00 30.21 D 97220.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 600.00 30.11 D 96620.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 6900.00 30.05 D 89720.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 1900.00 30.03 D 87820.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 2100.00 30.00 D 85720.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 13400.00 29.90 D 72320.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 300.00 30.02 D 72020.08 D Common Stock 2003-07-15 2003-07-15 4 S 0 1300.00 29.91 D -1080.00 I By Daughter Common Stock 2003-07-15 2003-07-15 4 S 0 2000.00 30.10 D -3080.00 I By Daughter Common Stock 2003-07-15 2003-07-15 4 S 0 200.00 30.20 D -3280.00 I By Daughter Common Stock 2003-07-15 2003-07-15 4 S 0 300.00 30.22 D -3580.00 I By Daughter Common Stock 2003-07-15 2003-07-15 4 S 0 700.00 30.25 D -4280.00 I By Daughter Common Stock 2003-07-15 2003-07-15 4 S 0 1500.00 30.35 D -5780.00 I By Daughter Common Stock 2003-07-15 2003-07-15 4 M 0 6000.00 11.408576 A 220.00 I By Daughter Employee Stock Option (right to buy) 11.41 2003-07-15 2003-07-15 4 M 0 6000.00 0 D 2000-01-25 2006-01-25 Common Stock 6000.00 162000.00 I By Daughter Employee Stock Option (right to buy) 17.23 2003-07-15 2003-07-15 4 M 0 35000.00 0 D 1997-11-18 2006-01-25 Common Stock 35000.00 289948.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. David C. Novak 2003-07-16 David C. Novak 2003-07-16 -----END PRIVACY-ENHANCED MESSAGE-----