0001127602-12-033659.txt : 20121212 0001127602-12-033659.hdr.sgml : 20121212 20121212145132 ACCESSION NUMBER: 0001127602-12-033659 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121210 FILED AS OF DATE: 20121212 DATE AS OF CHANGE: 20121212 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: 121258869 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: 0526 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 form4.xml PRIMARY DOCUMENT X0306 4 2012-12-10 0001041061 YUM BRANDS INC YUM 0001211696 NOVAK DAVID C 1441 GARDINER LANE LOUISVILLE KY 40213 1 1 Chair CEO and Pres Common Stock 2012-12-10 4 M 0 585934 17.23 A 822764.08 D Common Stock 2012-12-10 4 S 0 540600 66.20 D 282164.08 D Common Stock 30548 I 401(k) Plan Common Stock 0 I By Daughter Restricted Stock Units 0 2012-02-03 5 J 0 E 893.55 0 A Common Stock 893.55 201048.7187 D Restricted Stock Units 0 2012-05-04 5 J 0 E 805.33 0 A Common Stock 805.33 201854.0487 D Restricted Stock Units 0 2012-08-03 5 J 0 E 851.89 0 A Common Stock 851.89 202705.9387 D Restricted Stock Units 0 2012-11-02 5 J 0 E 941.58 0 A Common Stock 941.58 203647.5187 D Employee Stock Option (Right to Buy) 17.23 2012-12-10 4 M 0 585934 0 D 2005-01-27 2014-01-27 Common Stock 585934 0 D This transaction was executed in multiple trades at prices ranging from $65.76 to $66.82. The price reported above reflects the average 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. Units acquired pursuant Rule 16a-11 exemption. The reported holdings include units acquired in unreported dividend reinvestments. The restricted stock units vest four years from grant date. Vested shares will be delivered to the reporting person six months from his retirement from YUM! Brands, Inc. Units acquired pursuant to Rule 16a-11 exemption. The reported holdings include units acquired in unreported dividend reinvestment transactions. /s/ M. Gayle Hobson, POA 2012-12-12