Initial Statement of Beneficial Ownership (3)
January 02 2015 - 12:58PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Niccol Brian R
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2015
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3. Issuer Name
and
Ticker or Trading Symbol
YUM BRANDS INC [YUM]
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(Last)
(First)
(Middle)
1 GLEN BELL WAY
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
CEO, Taco Bell /
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(Street)
IRVINE, CA 92618
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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4969.49
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Stock
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(1)
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(2)
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Common Stock
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16512.0928
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(3)
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D
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Phantom Stock
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(1)
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(2)
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Common Stock
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17165.164
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(3)
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D
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Stock Appreciation Right
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5/20/2015
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2/5/2020
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Common Stock
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61232
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$39.64
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D
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Stock Appreciation Right
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2/4/2012
(4)
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2/4/2021
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Common Stock
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40734
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$49.30
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D
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Stock Appreciation Right
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2/6/2014
(4)
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2/6/2023
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Common Stock
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37885
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$62.93
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D
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Stock Appreciation Right
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2/8/2013
(4)
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2/8/2022
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Common Stock
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33102
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$64.44
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D
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Stock Appreciation Right
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5/15/2018
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5/15/2023
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Common Stock
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36561
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$69.92
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D
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Stock Appreciation Right
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2/5/2015
(4)
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2/5/2024
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Common Stock
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41260
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$70.54
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D
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Explanation of Responses:
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(
1)
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Payments are made in accordance with elections on file.
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(
2)
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The Program does not have specified expiration dates.
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(
3)
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Conversion occurs on a one-for-one basis.
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(
4)
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Vesting occurs on a quarterly basis beginning one year from grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Niccol Brian R
1 GLEN BELL WAY
IRVINE, CA 92618
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CEO, Taco Bell
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Signatures
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/s/ M. Gayle Hobson, POA
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1/2/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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