-----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, FXETfM6NGBHBqY3jC30YLt6wVJnqlM83JaMTobwpRj2shT7ORAi/IQ2jMrOM433W 62B2GDUs3HYfMZ/rPL2nmA== 0001041061-04-000315.txt : 20041005 0001041061-04-000315.hdr.sgml : 20041005 20041005145858 ACCESSION NUMBER: 0001041061-04-000315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041001 FILED AS OF DATE: 20041005 DATE AS OF CHANGE: 20041005 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: 041065703 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 2004-10-01 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 2004-10-01 2004-10-01 4 M 0 75000.00 11.0093 A 101227.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 2445.00 40.05 D 98782.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 42.00 40.07 D 98740.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 1475.00 40.10 D 97265.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 422.00 40.11 D 96843.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 590.00 40.12 D 96253.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 759.00 40.13 D 95494.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 126.00 40.14 D 95368.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 84.00 40.15 D 95284.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 632.00 40.17 D 94652.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 506.00 40.18 D 94146.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 464.00 40.19 D 93682.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 11043.00 40.20 D 82639.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 1559.00 40.21 D 81080.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 3203.00 40.22 D 77877.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 20653.00 40.23 D 57224.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 2884.00 40.24 D 54340.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 11802.00 40.25 D 42538.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 3456.00 40.26 D 39082.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 2234.00 40.27 D 36848.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 5943.00 40.28 D 30905.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 2613.00 40.29 D 28292.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 1138.00 40.30 D 27154.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 379.00 40.31 D 26775.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 211.00 40.32 D 26564.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 211.00 40.33 D 26353.08 D Common Stock 2004-10-01 2004-10-01 4 S 0 126.00 40.34 D 26227.08 D Common Stock 220.00 I By Daughter Employee Stock Option (right to buy) 11.0093 2004-10-01 2004-10-01 4 M 0 75000.00 11.0093 D 2000-10-01 2006-01-25 Common Stock 75000.00 63354.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. Represents transfer of shares to minor daughter David C. Novak 2004-10-05 -----END PRIVACY-ENHANCED MESSAGE-----