-----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, PD4visKDXhjd8Y9TO4n0Z3en831M1w/dMNtAwUJMRiVA3fRz3YkgZpNmZOrEH4q9 AEsesUoYv3GK7blc2cmQWg== 0001041061-04-000236.txt : 20040701 0001041061-04-000236.hdr.sgml : 20040701 20040701162151 ACCESSION NUMBER: 0001041061-04-000236 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040701 FILED AS OF DATE: 20040701 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: 04895565 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 2004-07-01 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 2004-07-01 2004-07-01 4 M 0 23850.00 11.4085 A 50075.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 1750.00 36.70 D 48325.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 1000.00 36.71 D 47325.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 7200.00 36.72 D 40125.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 1300.00 36.73 D 38825.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 150.00 36.74 D 38675.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 50.00 36.75 D 38625.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 250.00 36.76 D 38375.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 3350.00 36.77 D 35025.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 1850.00 36.78 D 33175.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 2600.00 36.79 D 30575.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 250.00 36.80 D 30325.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 1150.00 36.81 D 29175.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 650.00 36.82 D 28525.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 1050.00 36.84 D 27475.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 100.00 36.85 D 27375.08 D Common Stock 2004-07-01 2004-07-01 4 S 0 150.00 36.86 D 27225.08 D Common Stock 2004-07-02 2004-07-01 4 S 0 1000.00 36.83 D 26225.08 D Common Stock 220.00 I By Daughter Employee Stock Option (right to buy) 11.4085 2004-07-01 2004-07-01 4 M 0 23850.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 23850.00 100124.00 D Employee Stock Option (right to buy) 11.4085 2006-01-25 Common Stock 85000.00 I By Daughter Shares exercised and sold pursuant to SEC 10b5-1 plan. Represents transfer of shares to minor daughter 01/25/2000 Reflects Period End Holdings. The reporting person disclaims beneficial ownership of all securities held by his daughter, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. David C. Novak 2004-07-01 -----END PRIVACY-ENHANCED MESSAGE-----