-----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, UsP2H5m9he7N4E53luPDXz7jCTXqtgm1INopNOYo4KwicltzNK4Ni4Vy12sggjiB YOyzhPUZtSdHV/+i9Y0zJg== 0001041061-03-000150.txt : 20031105 0001041061-03-000150.hdr.sgml : 20031105 20031105125704 ACCESSION NUMBER: 0001041061-03-000150 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031103 FILED AS OF DATE: 20031105 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: 03978527 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 2003-11-03 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 2003-11-03 2003-11-03 4 M 0 35000.00 17.2344 A 107020.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 368.00 34.13 D 106652.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 2702.00 34.14 D 103950.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 1781.00 34.15 D 102169.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 123.00 34.16 D 102046.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 553.00 34.17 D 101493.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 6570.00 34.18 D 94923.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 737.00 34.19 D 94186.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 12956.00 34.20 D 81230.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 7000.00 34.21 D 74230.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 307.00 34.22 D 73923.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 1473.00 34.23 D 72450.08 D Common Stock 2003-11-03 2003-11-03 4 S 0 430.00 34.24 D 72020.08 D Common Stock 220.00 I By Daughter Employee Stock Option (right to buy) 17.23 2003-11-03 2003-11-03 4 M 0 35000.00 17.2344 D 2000-01-25 2006-01-25 Common Stock 35000.00 149948.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. Represents transfer of shares to minor daughter David C. Novak 2003-11-04 -----END PRIVACY-ENHANCED MESSAGE-----