-----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, KumjnC6iLwT+en4OJ9Auikp6qva076kgrPAY24APlzM7nTp8Yvrpl7SzgkxQVbMp ulCV2ADwgoKtthaT+gzjYw== 0001041061-04-000117.txt : 20040302 0001041061-04-000117.hdr.sgml : 20040302 20040302150046 ACCESSION NUMBER: 0001041061-04-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040301 FILED AS OF DATE: 20040302 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 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: 04642496 MAIL ADDRESS: STREET 1: 1441 GARDINER LANE CITY: LOUISVILLE STATE: KY ZIP: 40213 4 1 doc4.xml PRIMARY DOCUMENT X0201 4 2004-03-01 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 2004-03-01 2004-03-01 4 M 0 2782.00 5.95 A 21923.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 2782.00 36.85 D 19141.08 D Common Stock 2004-03-01 2004-03-01 4 M 0 2270.00 8.905 A 21411.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 2270.00 36.85 D 19141.08 D Common Stock 2004-03-01 2004-03-01 4 M 0 44948.00 17.2344 A 64089.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 1023.00 36.76 D 63066.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 1477.00 36.77 D 61589.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 5455.00 36.78 D 56134.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 1553.00 36.79 D 54581.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 1970.00 36.80 D 52611.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 379.00 36.81 D 52232.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 2159.00 36.82 D 50073.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 1022.00 36.83 D 49051.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 1312.00 36.85 D 47739.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 1705.00 36.86 D 46034.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 114.00 36.87 D 45920.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 151.00 36.88 D 45769.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 871.00 36.89 D 44898.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 23522.00 36.90 D 21376.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 834.00 36.91 D 20542.08 D Common Stock 2004-03-01 2004-03-01 4 S 0 1401.00 36.92 D 19141.08 D Common Stock 220.00 I By Daughter Employee Stock Option (right to buy) 5.95 2004-03-01 2004-03-01 4 M 0 2782.00 5.95 D 1998-07-01 2004-07-01 Common Stock 2782.00 0.00 D Employee Stock Option (right to buy) 8.905 2004-03-01 2004-03-01 4 M 0 2270.00 8.905 D 1999-07-01 2005-06-30 Common Stock 2270.00 1264.00 D Employee Stock Option (right to buy) 17.2344 2004-03-01 2004-03-01 4 M 0 44948.00 17.2344 D 2001-11-18 2006-01-25 Common Stock 44948.00 0.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. Represents transfer of shares to minor daughter David C. Novak 2004-03-02 -----END PRIVACY-ENHANCED MESSAGE-----