Statement of Changes in Beneficial Ownership (4)
18 Maio 2023 - 7:56PM
Edgar (US Regulatory)
FORM 4
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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).
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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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hours per response...
0.5
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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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Hazelbaker Jill |
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)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
See Remarks |
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(Last)
(First)
(Middle)
1515 3RD STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/16/2023 |
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(Street)
SAN FRANCISCO, CA 94158 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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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| Common Stock | 5/16/2023 | | M | | 2546.00 | A | (1) | 123587.00 | D | |
| Common Stock | 5/16/2023 | | M | | 2688.00 | A | (1) | 126275.00 | D | |
| Common Stock | 5/16/2023 | | M | | 1698.00 | A | (1) | 127973.00 | D | |
| Common Stock | 5/16/2023 | | M | | 4670.00 | A | (1) | 132643.00 | D | |
| Common Stock | 5/16/2023 | | M | | 2437.00 | A | (1) | 135080.00 | D | |
| Common Stock | 5/16/2023 | | M | | 2862.00 | A | (1) | 137942.00 | D | |
| Common Stock | 5/16/2023 | | F(2) | | 1263.00 | D | $37.44 | 136679.00 | D | |
| Common Stock | 5/16/2023 | | F(2) | | 1333.00 | D | $37.44 | 135346.00 | D | |
| Common Stock | 5/16/2023 | | F(2) | | 842.00 | D | $37.44 | 134504.00 | D | |
| Common Stock | 5/16/2023 | | F(2) | | 2316.00 | D | $37.44 | 132188.00 | D | |
| Common Stock | 5/16/2023 | | F(2) | | 1209.00 | D | $37.44 | 130979.00 | D | |
| Common Stock | 5/16/2023 | | F(2) | | 1419.00 | D | $37.44 | 129560.00 | D | |
| Common Stock | | | | | | | | 7702.00 | I | Trust (3) |
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 |
| Restricted Stock Units | (1) | 5/16/2023 | | M | | | 2546.00 | (4) | (4) | Common Stock | 2546.00 | $0.00 | 117142.00 | D | |
| Restricted Stock Units | (1) | 5/16/2023 | | M | | | 2688.00 | (5) | (5) | Common Stock | 2688.00 | $0.00 | 91385.00 | D | |
| Restricted Stock Units | (1) | 5/16/2023 | | M | | | 1698.00 | (6) | (6) | Common Stock | 1698.00 | $0.00 | 37358.00 | D | |
| Restricted Stock Units | (1) | 5/16/2023 | | M | | | 4670.00 | (7) | (7) | Common Stock | 4670.00 | $0.00 | 65376.00 | D | |
| Restricted Stock Units | (1) | 5/16/2023 | | M | | | 2437.00 | (8) | (8) | Common Stock | 2437.00 | $0.00 | 24376.00 | D | |
| Restricted Stock Units | (1) | 5/16/2023 | | M | | | 2862.00 | (9) | (9) | Common Stock | 2862.00 | $0.00 | 5725.00 | 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 May 16, 2023. |
| (3) | Shares are held by the Franks 2021 Irrevocable Trust of which the beneficiaries are members of Ms. Hazelbaker's immediate family. |
| (4) | 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. |
| (5) | 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. |
| (6) | 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. |
| (7) | The reporting person was granted 224,148 restricted stock units (RSUs) on July 29, 2020. The vesting schedule is as follows: 4/48 of the total RSUs vested on November 16, 2020 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 117,004 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. |
| (9) | The reporting person was granted 114,495 restricted stock units (RSUs) on August 1, 2019. The vesting schedule is as follows: 1/10th of the total RSUs vested on July 16, 2020 and 1/40 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 |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Hazelbaker Jill
1515 3RD STREET
SAN FRANCISCO, CA 94158 |
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| See Remarks |
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Signatures
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| /s/ Carolyn Mo by Power of Attorney for Jill Hazelbaker | | 5/18/2023 |
| **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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