Statement of Changes in Beneficial Ownership (4)
03 Oktober 2020 - 12:17AM
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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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
*
West Tony |
2. Issuer Name and Ticker or Trading Symbol
Uber Technologies, Inc
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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)
1455 MARKET STREET, 4TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/30/2020 |
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(Street)
SAN FRANCISCO, CA 94103
(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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| Common Stock | 9/30/2020 | | S(1) | | 1872.00 | D | $36.0682 (2) | 275501.00 | D | |
| Common Stock | 9/30/2020 | | S(1) | | 128.00 | D | $36.4639 (3) | 275373.00 | D | |
| Common Stock | 10/1/2020 | | F(4) | | 3968.00 | D | $37.14 | 271405.00 | D | |
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 |
| Explanation of Responses: |
| (1) | This transaction was made pursuant to Mr. West's existing Rule 10b5-1 plan. |
| (2) | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.42 to $36.40, 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 ranges set forth in footnotes (2) and (3) to this Form 4. |
| (3) | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.4600 to $36.4650, inclusive. |
| (4) | Shares withheld to satisfy tax liability upon vesting of restricted stock units on October 1, 2020. |
Remarks:
Chief Legal Officer and Corporate Secretary |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
West Tony
1455 MARKET STREET, 4TH FLOOR
SAN FRANCISCO, CA 94103 |
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| See Remarks |
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Signatures
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| /s/ Keir Gumbs by Power of Attorney for Tony West | | 10/2/2020 |
| **Signature of Reporting Person | Date |
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