0001127602-17-005391.txt : 20170213 0001127602-17-005391.hdr.sgml : 20170213 20170213161136 ACCESSION NUMBER: 0001127602-17-005391 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170210 FILED AS OF DATE: 20170213 DATE AS OF CHANGE: 20170213 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Niccol Brian R CENTRAL INDEX KEY: 0001628588 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13163 FILM NUMBER: 17599200 MAIL ADDRESS: STREET 1: 1 GLEN BELL WAY CITY: IRVINE STATE: CA ZIP: 92618 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-02-10 0001041061 YUM BRANDS INC YUM 0001628588 Niccol Brian R 1 GLEN BELL WAY IRVINE CA 92618 1 CEO, Taco Bell Common Stock 2017-02-10 4 M 0 35231 28.22 A 36910 D Common Stock 2017-02-10 4 D 0 23293 68.1757 D 13617 D Common Stock 2017-02-10 4 S 0 11938 68.1734 D 1679 D Common Stock 4969.49 I By 401(k) Plan Stock Appreciation Right 68.00 2017-02-10 4 A 0 70423 0 A 2027-02-10 Common Stock 70423 70423 D Stock Appreciation Right 28.22 2017-02-10 4 M 0 35231 0 D 2015-05-20 2020-02-05 Common Stock 35231 25172 D Pursuant to 10b5-1 Plan This transaction was executed in multiple trades at prices ranging from $68.12 to $68.25. 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. This transaction was executed in multiple trades at prices ranging from $68.11 to $68.24. 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. Vesting occurs 25% per year beginning one year from grant date. /s/ M. Gayle Hobson, POA 2017-02-13