-----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, ByG4xw3wlEdQ7C2pexcuDprpDzutTCK4uHgq+B42S/9ZEZP07hu+oIy74l3baPnO T/v41651336anOPKKkUJZg== 0001041061-03-000129.txt : 20031010 0001041061-03-000129.hdr.sgml : 20031010 20031010133637 ACCESSION NUMBER: 0001041061-03-000129 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031008 FILED AS OF DATE: 20031010 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: 03936701 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 X0201 4 2003-10-08 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 2003-10-08 2003-10-08 4 M 0 70000.00 17.234 A 142020.08 D Common Stock 2003-10-08 2003-10-08 4 S 0 70000.00 32 D 72020.08 D Common Stock 2003-10-08 2003-10-08 4 M 0 12000.00 11.4086 A 12220.00 I By Daughter Common Stock 2003-10-08 2003-10-08 4 S 0 12000.00 32 D 220.00 I By Daughter Employee Stock Option (right to buy) 11.41 2006-01-25 Common Stock 298860.00 D Employee Stock Option (right to buy) 11.41 2003-10-08 2003-10-08 4 M 0 12000.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 12000.00 144000.00 I By Daughter Employee Stock Option (right to buy) 17.23 2003-10-08 2003-10-08 4 M 0 70000.00 17.2344 D 2000-01-25 2006-01-25 Common Stock 70000.00 184948.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. David C. Novak 2003-10-09 -----END PRIVACY-ENHANCED MESSAGE-----