-----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, L34YvyPNdEaRJ+R2XulNAzRGQAk9YTTXK7V0Q18Hh5sbYO7yT5d7L22V+yb04dUB pg5mSuWRtGRDjqFJDxwpyA== 0001041061-04-000085.txt : 20040203 0001041061-04-000085.hdr.sgml : 20040203 20040203114810 ACCESSION NUMBER: 0001041061-04-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040202 FILED AS OF DATE: 20040203 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: 04561554 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 2004-02-02 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 2004-02-02 2004-02-02 4 M 0 35000.00 17.2344 A 54141.08 D Common Stock 2004-02-02 2004-02-02 4 S 0 600.00 600 D 53541.08 D Common Stock 2004-02-02 2004-02-02 4 S 0 8900.00 33.38 D 44641.08 D Common Stock 2004-02-02 2004-02-02 4 S 0 5300.00 33.31 D 39341.08 D Common Stock 2004-02-02 2004-02-02 4 S 0 9900.00 33.32 D 29441.08 D Common Stock 2004-02-02 2004-02-02 4 S 0 4900.00 33.33 D 24541.08 D Common Stock 2004-02-02 2004-02-02 4 S 0 5000.00 33.36 D 19541.08 D Common Stock 2004-02-02 2004-02-02 4 S 0 400.00 33.37 D 19141.08 D Common Stock 2004-02-02 2004-02-02 4 M 0 6000.00 11.4085 A 6220.00 I By Daughter Common Stock 2004-02-02 2004-02-02 4 S 0 6000.00 33.41 D 220.00 I By Daughter Employee Stock Option (right to buy) 11.4085 2006-01-25 Common Stock 298860.00 D Employee Stock Option (right to buy) 11.4085 2004-02-02 2004-02-02 4 M 0 6000.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 6000.00 120000.00 I By Daughter Employee Stock Option (right to buy) 17.2344 2004-02-02 2004-02-02 4 M 0 35000.00 17.2344 D 2001-11-18 2006-01-25 Common Stock 35000.00 44948.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. David C. Novak 2004-02-02 -----END PRIVACY-ENHANCED MESSAGE-----