-----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, SkI3AFm5JwGso+4qOb4hsZw6CF4us4RpXuDwIShJh7kjI3XADMmA63EOY9zuO4Pa 3XGsjAy5I6qWvcVm2u61Tg== 0001041061-06-000260.txt : 20061207 0001041061-06-000260.hdr.sgml : 20061207 20061207133553 ACCESSION NUMBER: 0001041061-06-000260 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061201 FILED AS OF DATE: 20061207 DATE AS OF CHANGE: 20061207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bergren Scott CENTRAL INDEX KEY: 0001381049 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13163 FILM NUMBER: 061262051 BUSINESS ADDRESS: BUSINESS PHONE: (502)874-8300 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 3/A 1 doc3a.xml PRIMARY DOCUMENT X0202 3/A 2006-12-01 2006-12-01 0 0001041061 YUM BRANDS INC YUM 0001381049 Bergren Scott 14841 NORTH DALLAS PARKWAY DALLAS TX 75254 0 1 0 0 President - Pizza Hut, Inc. Common Stock 2.00 D Phantom Stock Common Stock 2309.38 D Employee Stock Option (right to buy) 28.93 2003-04-01 2012-04-01 Common Stock 19012.00 D Employee Stock Option (right to buy) 28.93 2003-04-01 2012-04-01 Common Stock 19012.00 D Phantom Stock 0 Common Stock 2345.01 D Phantom Stock Common Stock 10467.50 D Employee Stock Option (right to buy) 24.3250 2004-01-23 2013-01-23 Common Stock 45352.00 D Phantom Stock Common Stock 3146.03 D Stock Option Right to Buy 34.46 2005-01-27 2014-01-27 Common Stock 43945.00 D Stock Option (Right to Buy) 45.06 2006-01-28 2015-01-28 Common Stock 26016.00 D Phantom Stock Common Stock 4001.77 D YUM Stock Appreciation Right 48.9350 2007-01-26 2016-01-26 Common Stock 31079.00 D Phantom Stock Common Stock 16460.61 D Phantom Stock Common Stock 2295.02 D Phantom Stock Common Stock 2513.46 D Shares of phantom stock payable upon retirement or termination and are subject to earlier withdrawal in accordance with the terms of YUM! Brands, Inc. deferred compensation plan. The YUM! Brands, Inc. Executive Income Deferral Plan does not have specified expiration dates. Conversion occurs on a one-for-one basis. 25% per year beginning 04/01/2003 Shares of phantom stock are payable 4/1/2008 or retirement or termination and are subject to earlier withdrawal in accordance wit h the terms of the YUM! Brands, Inc. deferred compensation plan. Vesting will occur 25% per year beginning 1/23/2004. Payable 1/1/2008 or upon retirement and pursuant to the terms of the YUM! Brands deferred compensation plan. Vesting will occur 25% per year beginning 1/27/2005. Vesting will occur 25% per year beginning 01/28/2006 Vesting will occur 25% per year beginning 01/26/2007 Scott Bergren 2006-12-07 -----END PRIVACY-ENHANCED MESSAGE-----