-----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, R7fxY6P4ojvfPTkikxZfG605uGxMab36JXbh+vrNhStDmRrXrD2SHWuLHWHmWdEf 1hUBoHNk2/uAviUaHkrd8A== 0001041061-04-000275.txt : 20040901 0001041061-04-000275.hdr.sgml : 20040901 20040901132703 ACCESSION NUMBER: 0001041061-04-000275 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040901 FILED AS OF DATE: 20040901 DATE AS OF CHANGE: 20040901 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: 041010504 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 2004-09-01 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 2004-09-01 2004-09-01 4 M 0 36230.00 11.4085 A 62457.08 D Common Stock 2004-09-01 2004-09-01 4 M 0 38770.00 11.0093 A 101227.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 36230.00 39.50 D 64997.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 589.00 39.51 D 64408.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 539.00 39.52 D 63869.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 932.00 39.53 D 62937.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 686.00 39.54 D 62251.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 392.00 39.55 D 61859.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 589.00 39.56 D 61270.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 9611.00 39.57 D 51659.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 6718.00 39.58 D 44941.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 4876.00 39.59 D 40065.08 D Common Stock 2004-09-01 2004-09-01 4 S 0 13838.00 39.50 D 26227.08 D Common Stock 2004-09-01 2004-09-01 4 M 0 7000.00 11.4085 A 7220.00 I By Daughter Common Stock 2004-09-01 2004-09-01 4 S 0 7000.00 39.60 D 220.00 I By Daughter Employee Stock Option (right to buy) 11.4085 2004-09-01 2004-09-01 4 M 0 36230.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 36230.00 0.00 D Employee Stock Option (right to buy) 11.4085 2004-09-01 2004-09-01 4 M 0 7000.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 7000.00 95000.00 I By Daughter Employee Stock Option (right to buy) 11.0093 2004-09-01 2004-09-01 4 M 0 38770.00 11.0093 D 2000-01-25 2006-01-25 Common Stock 38770.00 138354.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. David C. Novak 2004-09-01 -----END PRIVACY-ENHANCED MESSAGE-----