Statement of Changes in Beneficial Ownership (4)
March 23 2020 - 6:08AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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AL-RUMAYYAN YASIR |
2. Issuer Name and Ticker or Trading Symbol
Uber Technologies, Inc
[
UBER
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
3884 PRINCE TURKI IBN ABDUL AZIZ AL-AWAL, ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/2/2020 |
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(Street)
RIYADH, T0 11452
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
| Call Option (right to buy) | $35.00 | 3/2/2020 | | P | | 500 | | 3/2/2020 | 1/15/2021 | Common Stock | 50000 | $455.00 | 500 | D | |
| Explanation of Responses: |
Remarks:
His Excellency Yasir Al-Rumayyan is the Governor of The Public Investment Fund ("PIF"), the sovereign wealth fund of the Kingdom of Saudi Arabia, which is a holder of securities of Uber Technologies, Inc. (the "Issuer"). The Board of Directors (the "Board") of PIF exercises investment control over the securities of the Issuer held by PIF by majority vote of the members of the Board. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
AL-RUMAYYAN YASIR
3884 PRINCE TURKI IBN ABDUL AZIZ AL-AWAL
ROAD
RIYADH, T0 11452 | X |
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Signatures
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| /s/ H.E. Yasir Al-Rumayyan | | 3/23/2020 |
| **Signature of Reporting Person | Date |
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