Officer Hazelbaker Jill converted options into 8,427 shares, covered exercise/tax liability with 4,586 shares and sold $2,880,044 worth of shares (40,000 units at $72.00), decreasing direct ownership by 22% to 127,352 units (SEC Form 4)
$UBER
Business Services
Consumer Discretionary
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Uber Technologies, Inc [ UBER ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/16/2024 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 09/16/2024 | M | 1,493 | A | (1) | 165,004 | D | |||
| Common Stock | 09/16/2024 | M | 2,546 | A | (1) | 167,550 | D | |||
| Common Stock | 09/16/2024 | M | 2,689 | A | (1) | 170,239 | D | |||
| Common Stock | 09/16/2024 | M | 1,699 | A | (1) | 171,938 | D | |||
| Common Stock | 09/16/2024 | F(2) | 748 | D | $71.52 | 171,190 | D | |||
| Common Stock | 09/16/2024 | F(2) | 1,357 | D | $71.52 | 169,833 | D | |||
| Common Stock | 09/16/2024 | F(2) | 1,508 | D | $71.52 | 168,325 | D | |||
| Common Stock | 09/16/2024 | F(2) | 973 | D | $71.52 | 167,352 | D | |||
| Common Stock | 09/16/2024 | S | 40,000 | D | $72.0011(3) | 127,352 | D | |||
| Common Stock | 9,002 | I | Trust(4) | |||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Units | (1) | 09/16/2024 | M | 1,493 | (5) | (5) | Common Stock | 1,493 | $0.00 | 62,715 | D | ||||
| Restricted Stock Units | (1) | 09/16/2024 | M | 2,546 | (6) | (6) | Common Stock | 2,546 | $0.00 | 76,397 | D | ||||
| Restricted Stock Units | (1) | 09/16/2024 | M | 2,689 | (7) | (7) | Common Stock | 2,689 | $0.00 | 48,396 | D | ||||
| Restricted Stock Units | (1) | 09/16/2024 | M | 1,699 | (8) | (8) | Common Stock | 1,699 | $0.00 | 10,188 | D | ||||
| Explanation of Responses: |
| 1. Restricted stock units convert into common stock on a one-for-one basis. |
| 2. Shares withheld to satisfy tax liability upon vesting of restricted stock units on September 16, 2024. |
| 3. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.00 to $72.06, inclusive. The reporting person undertakes to provide to Uber Technologies, Inc., any security holder of Uber Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| 4. Shares are held by the Franks 2021 Irrevocable Trust of which the beneficiaries are members of Ms. Hazelbaker's immediate family. |
| 5. The reporting person was granted 71,674 restricted stock units (RSUs) on March 1, 2024. The vesting schedule is as follows: 1/48 of the total RSUs vest on April 16, 2024 and 1/48 of the total RSUs vest each month thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. |
| 6. The reporting person was granted 122,235 restricted stock units (RSUs) on March 1, 2023. The vesting schedule is as follows: 1/48 of the total RSUs vested on April 16, 2023 and 1/48 of the total RSUs vest each month thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. |
| 7. The reporting person was granted 129,056 restricted stock units (RSUs) on March 1, 2022. The vesting schedule is as follows: 1/48 of the total RSUs vested on April 16, 2022 and 1/48 of the total RSUs vest each month thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. |
| 8. The reporting person was granted 81,508 restricted stock units (RSUs) on March 1, 2021. The vesting schedule is as follows: 12/48 of the total RSUs vested on March 16, 2022 and 1/48 of the total RSUs vest each month thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. |
| Remarks: |
| SVP, Marketing and Public Affairs |
| /s/ Carolyn Mo by Power of Attorney for Jill Hazelbaker | 09/18/2024 | |
| ** 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 4 (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 Number. | ||