Statement of Changes in Beneficial Ownership (4)
November 18 2022 - 05:48PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
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 * West
Tony |
2. Issuer Name and Ticker or Trading
Symbol Uber Technologies, Inc [ UBER ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
See Remarks |
(Last)
(First)
(Middle)
1515 3RD STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/16/2022
|
(Street)
SAN FRANCISCO, CA 94158
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
11/16/2022 |
|
M |
|
3073.00 |
A |
(1) |
155298.00 |
D |
|
Common Stock |
11/16/2022 |
|
M |
|
1213.00 |
A |
(1) |
156511.00 |
D |
|
Common Stock |
11/16/2022 |
|
M |
|
4670.00 |
A |
(1) |
161181.00 |
D |
|
Common Stock |
11/16/2022 |
|
M |
|
1806.00 |
A |
(1) |
162987.00 |
D |
|
Common Stock |
11/16/2022 |
|
F(2) |
|
1524.00 |
D |
$30.04 |
161463.00 |
D |
|
Common Stock |
11/16/2022 |
|
F(2) |
|
602.00 |
D |
$30.04 |
160861.00 |
D |
|
Common Stock |
11/16/2022 |
|
F(2) |
|
2316.00 |
D |
$30.04 |
158545.00 |
D |
|
Common Stock |
11/16/2022 |
|
F(2) |
|
896.00 |
D |
$30.04 |
157649.00 |
D |
|
Common Stock |
11/16/2022 |
|
F(2) |
|
608.00 |
D |
$30.04 |
157041.00 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
Restricted Stock Units |
(1) |
11/16/2022 |
|
M |
|
|
3073.00 |
(3) |
(3) |
Common Stock |
3073.00 |
$0.00 |
122910.00 |
D |
|
Restricted Stock Units |
(1) |
11/16/2022 |
|
M |
|
|
1213.00 |
(4) |
(4) |
Common Stock |
1213.00 |
$0.00 |
33962.00 |
D |
|
Restricted Stock Units |
(1) |
11/16/2022 |
|
M |
|
|
4670.00 |
(5) |
(5) |
Common Stock |
4670.00 |
$0.00 |
109272.00 |
D |
|
Restricted Stock Units |
(1) |
11/16/2022 |
|
M |
|
|
1806.00 |
(6) |
(6) |
Common Stock |
1806.00 |
$0.00 |
28890.00 |
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 November
16, 2022. |
(3) |
The reporting person was
granted 147,492 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. |
(4) |
The reporting person was
granted 58,220 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. |
(5) |
The reporting person was
granted 224,148 restricted stock units (RSUs) on July 29, 2020. The
vesting schedule is as follows: 1/5 of the total RSUs vested on
August 16, 2021, 1/48 of the total RSUs vest each month thereafter
for 24 months, and 1/40 of the total RSUs vest each month
thereafter for 12 months. 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 86,670 restricted stock units (RSUs) on March 2, 2020. The
vesting schedule is as follows: 12/48 of the total RSUs vested on
March 16, 2021 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:
Chief Legal Officer and Corporate Secretary |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
West Tony
1515 3RD STREET
SAN FRANCISCO, CA 94158 |
|
|
See Remarks |
|
Signatures
|
/s/ Carolyn Mo by Power of Attorney for Tony
West |
|
11/18/2022 |
**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 control number. |
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