-----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, NQd9U9Z3NfA8PBwyDz3kpacbqJrqijERtOBSgL3K0JvTDEozmufKRPj5qEhXA3sR t78Zvr2ZswE0EpnyTsYHQg== 0001041061-04-000174.txt : 20040504 0001041061-04-000174.hdr.sgml : 20040504 20040504153630 ACCESSION NUMBER: 0001041061-04-000174 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040503 FILED AS OF DATE: 20040504 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: 04777570 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 X0202 4 2004-05-03 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 19141.08 D Common Stock 2004-05-03 2004-05-03 4 M 0 7000.00 11.4085 A 7220.00 I By Daughter Common Stock 2004-05-03 2004-05-03 4 S 0 114.00 37.86 D 7106.00 I By Daughter Common Stock 2004-05-03 2004-05-03 4 S 0 1600.00 37.85 D 5506.00 I By Daughter Common Stock 2004-05-03 2004-05-03 4 S 0 300.00 37.89 D 5206.00 I By Daughter Common Stock 2004-05-03 2004-05-03 4 S 0 1100.00 38.00 D 4106.00 I By Daughter Common Stock 2004-05-03 2004-05-03 4 S 0 2600.00 38.20 D 1506.00 I By Daughter Employee Stock Option (right to buy) 11.4085 2006-01-25 Common Stock 250124.00 D Employee Stock Option (right to buy) 11.4085 2004-05-03 2004-05-03 4 M 0 7000.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 7000.00 99000.00 I By Daughter Shares exercised and sold pursuant to SEC 10b5-1 plan. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14 , 2001. David C. Novak 2004-05-04 -----END PRIVACY-ENHANCED MESSAGE-----