-----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, UG0VBEL+3PK4ANsOndKMWjMzqD0m9BBse/rG2GlIAuNicVCSF/98WJc1vSK6Iozf 2CFZxLsTUQ8TYJjktltT0Q== 0001041061-09-000148.txt : 20090429 0001041061-09-000148.hdr.sgml : 20090429 20090429124058 ACCESSION NUMBER: 0001041061-09-000148 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090428 FILED AS OF DATE: 20090429 DATE AS OF CHANGE: 20090429 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: 09778171 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 X0303 4 2009-04-28 0 0001041061 YUM BRANDS INC YUM 0001211696 NOVAK DAVID C 1441 GARDINER LANE1441 GARDINER LANE LOUISVILLE KY 40213 1 1 0 0 Chair CEO and Pres Common Stock 2009-04-28 2009-04-28 4 M 0 309964.00 5.7043 A 362418.08 D Common Stock 2009-04-28 2009-04-28 4 S 0 309964.00 34.05 D 52454.08 D Common Stock 2009-04-28 2009-04-28 4 M 0 987312.00 8.6172 A 1039766.08 D Common Stock 2009-04-28 2009-04-28 4 S 0 840036.00 34.05 D 199730.08 D Common Stock 29918.00 I 401(k) plan Employee Stock Option (right to buy) 5.7043 2009-04-28 2009-04-28 4 M 0 309964.00 5.7043 D 2000-01-25 2011-01-25 Common Stock 309964.00 0.00 D Employee Stock Option (right to buy) 8.6172 2009-04-28 2009-04-28 4 M 0 987312.00 8.6172 D 2001-11-18 2011-01-25 Common Stock 987312.00 252544.00 D This transaction was executed in multiple trades at prices ranging from $33.82 to $34.35 The price reported above reflects the average sale price. The reporting person hereby undertakes to provide upon request, to the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected. David C. Novak 2009-04-29 -----END PRIVACY-ENHANCED MESSAGE-----