-----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, Vf2U7GDHVLmRwigWyTbDJM/WvwXhfWtp4I4Rc8zvKRC4EjDxIpG6JS1ooVI9OUmD FNQQc1IoRrko6GOIzWc0XQ== 0001041061-04-000341.txt : 20041102 0001041061-04-000341.hdr.sgml : 20041102 20041102153559 ACCESSION NUMBER: 0001041061-04-000341 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041101 FILED AS OF DATE: 20041102 DATE AS OF CHANGE: 20041102 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: 041113283 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 2004-11-01 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 2004-11-01 2004-11-01 4 M 0 3616.00 13.745 A 29843.08 D Common Stock 2004-11-01 2004-11-01 4 S 0 3616.00 43.54 D 26227.08 D Common Stock 2004-11-01 2004-11-01 4 M 0 8030.00 11.4086 A 34257.08 D Common Stock 2004-11-01 2004-11-01 4 S 0 4763.00 43.55 D 29494.08 D Common Stock 2004-11-01 2004-11-01 4 S 0 3267.00 43.54 D 26227.08 D Common Stock 2004-11-01 2004-11-01 4 M 0 7000.00 11.4085 A 7220.00 I By Daughter Common Stock 2004-11-01 2004-11-01 4 S 0 7000.00 43.50 D 220.00 I By Daughter Employee Stock Option (right to buy) 11.4085 2004-11-01 2004-11-01 4 M 0 7000.00 11.4085 D 2000-01-25 2006-01-25 Common Stock 7000.00 81000.00 I By Daughter Employee Stock Option 13.745 2004-11-01 2004-11-01 4 M 0 3616.00 13.745 D 2000-07-01 2006-06-30 Common Stock 3616.00 0.00 D Employee Stock Options (right to buy) 11.4086 2004-11-01 2004-11-01 4 M 0 8030.00 11.4086 D 2000-01-25 2006-01-25 Common Stock 8030.00 266830.00 D Shares exercised and sold pursuant to SEC 10b5-1 plan. David C. Novak 2004-11-02 -----END PRIVACY-ENHANCED MESSAGE-----