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West Tony – ‘4’ for 11/16/22 re: Uber Technologies, Inc.

On:  Friday, 11/18/22, at 5:47pm ET   ·   For:  11/16/22   ·   As:  Officer   ·   Accession #:  1562180-22-7768   ·   File #:  1-38902

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/18/22  West Tony                         4          Officer     1:19K  Uber Technologies, Inc.           Solium Capital Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     19K 
                Securities by an Insider --                                      
                primarydocument.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Website rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
SEC Form 4
FORM 4UNITED 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
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
West Tony
(Last)(First)(Middle)
1515 3RD STREET
(Street)
SAN FRANCISCOCA94158
(City)(State)(Zip)
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
XOfficer (give title below) Other (specify below)
See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
11/16/2022
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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. 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)
CodeVAmount(A) or (D)Price
Common Stock11/16/2022M 3,073A (1)155,298D
Common Stock11/16/2022M 1,213A (1)156,511D
Common Stock11/16/2022M 4,670A (1)161,181D
Common Stock11/16/2022M 1,806A (1)162,987D
Common Stock11/16/2022F (2) 1,524D$30.04161,463D
Common Stock11/16/2022F (2) 602D$30.04160,861D
Common Stock11/16/2022F (2) 2,316D$30.04158,545D
Common Stock11/16/2022F (2) 896D$30.04157,649D
Common Stock11/16/2022F (2) 608D$30.04157,041D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units (1)11/16/2022M 3,073 (3) (3)Common Stock3,073$0.00122,910D
Restricted Stock Units (1)11/16/2022M 1,213 (4) (4)Common Stock1,213$0.0033,962D
Restricted Stock Units (1)11/16/2022M 4,670 (5) (5)Common Stock4,670$0.00109,272D
Restricted Stock Units (1)11/16/2022M 1,806 (6) (6)Common Stock1,806$0.0028,890D
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
/s/ Carolyn Mo by Power of Attorney for Tony West11/18/2022
** Signature of Reporting PersonDate
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.

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Filing Submission 0001562180-22-007768   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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