-----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, RsK5HTKvveCaB+Rgd7xS2hbtQ9iEPEq9kjXMizi/6T2R4hMteK9uMbKf9xxTtrQ4 1qsVdnyCZWYGsR3BkrblFA== 0001041061-04-000149.txt : 20040402 0001041061-04-000149.hdr.sgml : 20040402 20040402145352 ACCESSION NUMBER: 0001041061-04-000149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040401 FILED AS OF DATE: 20040402 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: 04713329 MAIL ADDRESS: STREET 1: 1441 GARDINER LANE CITY: LOUISVILLE STATE: KY ZIP: 40213 4 1 doc4.xml PRIMARY DOCUMENT X0201 4 2004-04-01 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 2004-04-01 2004-04-01 4 M 0 1264.00 8.905 A 20405.08 D Common Stock 2004-04-01 2004-04-01 4 S 0 1264.00 37.80 D 19141.08 D Common Stock 2004-04-01 2004-04-01 4 M 0 48736.00 11.4085 A 67877.08 D Common Stock 2004-04-01 2004-04-01 4 S 0 44191.00 37.80 D 23686.08 D Common Stock 2004-04-01 2004-04-01 4 S 0 4545.00 37.90 D 19141.08 D Common Stock 2004-04-01 2004-04-01 4 M 0 7000.00 11.4085 A 7220.00 I By Daughter Common Stock 2004-04-01 2004-04-01 4 S 0 7000.00 37.65 D 220.00 I By Daughter Employee Stock Option (right to buy) 11.4085 2004-04-01 2004-04-01 4 M 0 48736.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 48736.00 250124.00 D Employee Stock Option (right to buy) 11.4085 2004-04-01 2004-04-01 4 M 0 7000.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 7000.00 106000.00 I By Daughter Employee Stock Option (right to buy) 8.905 2004-04-01 2004-04-01 4 M 0 1264.00 8.905 D 1999-07-01 2005-06-30 Common Stock 1264.00 0.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. David C. Novak 2004-04-02 -----END PRIVACY-ENHANCED MESSAGE-----