1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (right to buy)
|
01/25/2000 |
01/25/2006 |
Common Stock
|
96,420
|
$
11.4085
|
D
|
Â
|
Employee Stock Option (right to buy)
|
04/01/2000 |
01/25/2006 |
Common Stock
|
30,584
|
$
12.27
|
D
|
Â
|
Employee Stock Option (right to buy)
|
06/30/1999 |
06/30/2005 |
Common Stock
|
1,540
|
$
8.9
|
D
|
Â
|
Employee Stock Option (right to buy)
|
07/01/2000 |
06/30/2006 |
Common Stock
|
1,576
|
$
13.74
|
D
|
Â
|
Employee Stock Option (right to buy)
|
01/20/2002 |
01/20/2008 |
Common Stock
|
110,092
|
$
13.625
|
D
|
Â
|
Employee Stock Option (right to buy)
|
01/21/2003 |
01/21/2009 |
Common Stock
|
72,390
|
$
23.4844
|
D
|
Â
|
Employee Stock Option (right to buy)
|
01/27/2004 |
01/27/2010 |
Common Stock
|
112,282
|
$
15.14
|
D
|
Â
|
Employee Stock Option (right to buy)
|
01/25/2002(1)
|
01/25/2011 |
Common Stock
|
71,504
|
$
16.7825
|
D
|
Â
|
Employee Stock Option
|
12/31/2002(2)
|
12/31/2011 |
Common Stock
|
48,162
|
$
24.4075
|
D
|
Â
|
Phantom Stock
|
Â
(3)
|
Â
(4)
|
Common Stock
|
28,119
|
$
(5)
|
D
|
Â
|
Employee Stock Option (right to buy)
|
01/23/2004(6)
|
01/23/2013 |
Common Stock
|
49,475
|
$
24.325
|
D
|
Â
|
Employee Stock Option (right-to-buy)
|
01/27/2005(7)
|
01/27/2014 |
Common Stock
|
58,594
|
$
34.46
|
D
|
Â
|
Stock Option Right to Buy
|
01/24/2006 |
01/24/2012 |
Common Stock
|
37,658
|
$
26.555
|
D
|
Â
|
Stock Option Right to Buy
|
01/27/2008 |
01/27/2014 |
Common Stock
|
29,020
|
$
34.46
|
D
|
Â
|
Phantom Stock
|
Â
(8)
|
Â
(4)
|
Common Stock
|
26,090.37
|
$
(5)
|
D
|
Â
|
Employee Stock Option (right to buy)
|
01/01/2001 |
01/25/2006 |
Common Stock
|
58,616
|
$
11.5174
|
D
|
Â
|
Employee Stock Option (right to buy)
|
09/30/2006 |
09/30/2002 |
Common Stock
|
36,089
|
$
27.71
|
D
|
Â
|
Stock Option (Right to Buy)
|
01/28/2006(9)
|
01/28/2015 |
Common Stock
|
65,039
|
$
45.06
|
D
|
Â
|
Phantom Stock
|
Â
(10)
|
Â
(4)
|
Common Stock
|
25,466.05
|
$
(5)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Vesting occurs 25% per year beginning 1/25/2002. |
(2) |
Vesting occurs 25% per year beginning 12/31/2002. |
(3) |
Payable April 1, 2005 or upon Retirement and pursuant to the terms of the YUM! Brands deferred compensation plan. |
(4) |
The YUM! Brands, Inc. Executive Income Deferral Plan does not have specified expiration dates. |
(5) |
Conversion occurs on a one-for-one basis. |
(6) |
Vesting will occur 25% per year beginning 1/23/2004. |
(7) |
Vesting will occur 25% per year beginning 1/27/2005. |
(8) |
Payable April 1, 2006 or upon Retirement and pursuant to the terms of the YUM! Brands, Inc. deferred compensation plan. |
(9) |
Vesting will occur 25% per year beginning 01/28/2006 |
(10) |
Shares of phantom stock are payable 04/01/07 or upon Separation and are subject to earlier withdrawal in accordance with the ter
ms of Yum's deferred compensation plan. |