Filing Details
- Accession Number:
- 0001127602-10-003682
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-08 12:00:00
- Reporting Period:
- 2010-02-05
- Filing Date:
- 2010-02-08
- Accepted Time:
- 2010-02-08 10:59:41
- 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 |
|---|---|---|---|---|---|---|---|
| 1238486 | David Jonathan Blum | 1441 Gardiner Lane Louisville KY 40213 | Svp Public Affairs | No | 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 | 2010-02-05 | 3,061 | $12.20 | 3,069 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-02-05 | 3,061 | $33.20 | 8 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-02-05 | 5,416 | $32.98 | 5,424 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-02-05 | 5,416 | $33.20 | 8 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-02-05 | 3 | $0.00 | 11 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-02-05 | 3 | $33.40 | 8 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-02-05 | 3,061 | $0.00 | 3,061 | $12.20 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-02-05 | 5,416 | $0.00 | 5,416 | $13.28 |
| Common Stock | Phantom Stock | Disposition | 2010-02-05 | 3 | $0.00 | 3 | $0.00 |
| Common Stock | Stock Appreciation Right | Acquisiton | 2010-02-06 | 86,059 | $32.98 | 86,059 | $32.98 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2002-12-31 | 2011-12-31 | No | 4 | M | Direct |
| 2,116 | 2003-01-24 | 2012-01-24 | No | 4 | M | Direct |
| 153 | No | 4 | M | Direct | ||
| 86,059 | 2011-02-05 | 2020-02-05 | No | 4 | A | Direct |
Footnotes
- Pursuant to 10b5-1 Plan
- This transaction was executed in multiple trades at prices ranging from $33.16 to $33.28. 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.
- Conversion occurs on a one-for-one basis.
- Phantom Exercise Date
- The YUM! Brands, Inc. Executive Income Deferral Program does not have specified expiration dates.
- Vesting occurs 25% per year beginning 02/05/2011.
- This transaction was executed in multiple trades at prices ranging from $33.16 to $33.28. 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.
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