Filing Details
- Accession Number:
- 0001127602-12-033659
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-12 14:51:32
- Reporting Period:
- 2012-12-10
- Filing Date:
- 2012-12-12
- Accepted Time:
- 2012-12-12 14:51:32
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1041061 | Yum Brands Inc | YUM | Retail-Eating Places (5812) | 133951308 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1211696 | C David Novak | 1441 Gardiner Lane Louisville KY 40213 | Chair Ceo And Pres | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-12-10 | 585,934 | $17.23 | 822,764 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-10 | 540,600 | $66.20 | 282,164 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Acquisiton | 2012-02-03 | 894 | $0.00 | 894 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2012-05-04 | 805 | $0.00 | 805 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2012-08-03 | 852 | $0.00 | 852 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2012-11-02 | 942 | $0.00 | 942 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2012-12-10 | 585,934 | $0.00 | 585,934 | $17.23 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 201,049 | No | 5 | J | Direct | ||
| 201,854 | No | 5 | J | Direct | ||
| 202,706 | No | 5 | J | Direct | ||
| 203,648 | No | 5 | J | Direct | ||
| 0 | 2005-01-27 | 2014-01-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 30,548 | Indirect | 401(k) Plan |
| Common Stock | 0 | Indirect | By Daughter |
Footnotes
- 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.
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