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FORM 3
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Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0104 Estimated average burden hours per response... 0.5 |
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| 1. Name and Address of Reporting Person * Bergren Scott |
2. Date of Event Requiring Statement (MM/DD/YYYY)
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3. Issuer Name and Ticker or Trading Symbol YUM BRANDS INC [YUM] |
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___ X ___ Officer (give title below) _____ Other (specify below) President - Pizza Hut, Inc. / |
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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 II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
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) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Phantom Stock | (1) | (2) | Common Stock | 2309.38 | (3) | D | |
| Employee Stock Option (right to buy) | 4/1/2003 (4) | 4/1/2012 | Common Stock | 19012.00 | $28.93 | D | |
| Employee Stock Option (right to buy) | 4/1/2003 (4) | 4/1/2012 | Common Stock | 19012.00 | $28.93 | D | |
| Phantom Stock | (5) | (2) | Common Stock | 2345.01 | $0 (3) | D | |
| Phantom Stock | (1) | (2) | Common Stock | 10467.50 | (3) | D | |
| Employee Stock Option (right to buy) | 1/23/2004 (6) | 1/23/2013 | Common Stock | 45352.00 | $24.3250 | D | |
| Phantom Stock | (7) | (2) | Common Stock | 3146.03 | (3) | D | |
| Stock Option Right to Buy | 1/27/2005 (8) | 1/27/2014 | Common Stock | 43945.00 | $34.46 | D | |
| Stock Option (Right to Buy) | 1/28/2006 (9) | 1/28/2015 | Common Stock | 26016.00 | $45.06 | D | |
| Phantom Stock | (1) | (2) | Common Stock | 4001.77 | (3) | D | |
| YUM Stock Appreciation Right | 1/26/2007 (10) | 1/26/2016 | Common Stock | 31079.00 | $48.9350 | D | |
| Phantom Stock | (1) | (2) | Common Stock | 16460.61 | (3) | D | |
| Phantom Stock | (1) | (2) | Common Stock | 2295.02 | (3) | D | |
| Phantom Stock | (1) | (2) | Common Stock | 2513.46 | (3) | D | |
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Reporting Owners
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| Reporting Owner Name / Address |
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| Director | 10% Owner | Officer | Other | ||
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Bergren Scott
14841 NORTH DALLAS PARKWAY DALLAS, TX 75254 |
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President - Pizza Hut, Inc. |
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Signatures
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| Scott Bergren | 12/7/2006 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| * | 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). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| 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. | |