Pizza Hut 2012 Annual Report Download - page 46

YUM! BRANDS, INC.-2013Proxy Statement28
Proxy Statement
ITEM5STOCK OWNERSHIP INFORMATION
Name
Benefi cial Ownership
Additional
Underlying
Stock Units(4) Total
Number
of Shares
Benefi cially
Owned(1)
Options/
SARS
Exercisable
within 60
Days(2)
Deferral
Plans Stock
Units(3)
Total
Benefi cial
Ownership
DavidC. Novak 314,077 1,725,672 1,375,417 3,415,166 1,039,865 4,455,031
Michael J. Cavanagh(5) 0 0 0 0 2,645 2,645
DavidW. Dorman 41,691 19,591 0 61,282 5,254 66,536
Massimo Ferragamo 56,829 9,115 43,130 109,074 29,798 138,872
MirianM. Graddick-Weir 0 88 0 88 4,947 5,035
J.David Grissom 107,933(6) 9,115 2,055 119,103 0 119,103
BonnieG. Hill 1,748 20,473 11,961 34,182 14,896 49,078
Jonathan S. Linen 14,438(7) 19,591 0 34,029 30,907 64,936
ThomasC. Nelson 8,288 4,560 0 12,848 30,761 43,609
ThomasM. Ryan 27,811(8) 20,473 1,712 49,996 30,862 80,858
RobertD. Walter 52,003 5,783 0 57,786 18,435 76,221
Patrick Grismer 18,214(9) 105,126 0 123,340 9,126 132,466
Jing-ShyhS. Su 351,632(10 ) 1,275,561 17,233 1,644,426 233,166 1,877,592
Richard T. Carucci 26,833(11 ) 515,374 12,509 554,716 127,686 682,402
Muktesh Pant 9,529 334,372 7,782 351,683 89,458 441,141
All Directors and Executive Offi cers
asaGroup (22persons) 1,135,607 5,407,166 1,622,761 8,165,534 2,030,781 10,196,315
(1) Shares owned outright. These amounts include the following shares held pursuant to YUM’s 401(k) Plan as to which each named person has sole voting power:
• Mr.Novak, 31,913 shares
• Mr.Grismer, 6,614 shares
• Mr.Pant, 1,941 shares
• all directors and executive officers as a group, 43,050 shares
(2) The amounts shown include beneficial ownership of shares that may be acquired within 60days pursuant to stock options and SARs awarded under our employee
or director incentive compensation plans. For stock options, we report shares equal to the number of options exercisable within 60days. For SARs we report the
shares that would be delivered upon exercise (which is equal to the number of SARs multiplied by the difference between the fair market value of our common stock
at year-end and the exercise price divided by the fair market value of the stock).
(3) These amounts reflect units denominated as common stock equivalents held in deferred compensation accounts for each of the named persons under our Director
Deferred Compensation Plan or our Executive Income Deferral Program. Amounts payable under these plans will be paid in shares of YUM common stock at
termination of directorship/employment or within 60days if so elected. This amount also includes performance share unit awards granted in 2010 by the Management
Planning and Development Committee that vested on December29 ,2012 and to which performance was certified in January2013. The distribution amounts are
the following: Mr.Novak 41,137; Mr.Su 17,233; Mr.Carucci 12,509; and Mr.Pant 7,782. All executive officers as a group received distributions in total of 108,406
awards .
(4) Amounts include units denominated as common stock equivalents held in deferred compensation accounts which become payable in shares of YUM common stock
at a time (a)other than at termination of employment or (b)after March1,2013. For Mr.Novak, those amounts also include restricted stock units awarded in 2008
that vested in 2012. For Mr.Su, amounts also include restricted stock units awarded in 2010 that will vest in 2015.
(5) Mr.Cavanagh joined the Board effective November16,2012.
(6) This amount includes 26,000 shares held in trusts.
(7) This amount includes 10,000 shares held in a trust.
(8) These shares are held in a trust.
(9 ) Th ese shares are held in trusts.
(10 ) This amount includes 278,361 shares held indirectly.
(11 ) These shares are held in trusts.