FORM 4 |
UNITED 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 |
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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). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Uber Technologies, Inc [ UBER ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/05/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 05/05/2020 | S(1) | 102,310 | D | $28.119(2) | 46,440,988 | I | Expa-1, LLC(3) | ||
Common Stock | 05/05/2020 | S(1) | 67,690 | D | $28.636(4) | 46,373,298 | I | Expa-1, LLC(3) | ||
Common Stock | 05/06/2020 | S(1) | 139,087 | D | $27.4398(5) | 46,234,211 | I | Expa-1, LLC(3) | ||
Common Stock | 05/06/2020 | S(1) | 30,913 | D | $27.9017(6) | 46,203,298 | I | Expa-1, LLC(3) | ||
Common Stock | 05/07/2020 | S(1) | 114,563 | D | $30.351(7) | 46,088,735 | I | Expa-1, LLC(3) | ||
Common Stock | 05/07/2020 | S(1) | 55,437 | D | $30.9403(8) | 46,033,298 | I | Expa-1, LLC(3) | ||
Common Stock | 955,666 | I | Expa Holdings, Inc.(9) | |||||||
Common Stock | 7,523,999 | I | RMG 2018 Trust(10) | |||||||
Common Stock | 12,476,001 | I | RMG 2019 Trust(11) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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) | ||||
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. Camp'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 $27.4600 to $28.4500, 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), (4), (5), (6), (7) and (8) to this Form 4. |
3. Mr. Camp serves as the sole manager of Expa-1, LLC and has sole voting and dispositive power over the shares held by Expa-1, LLC. |
4. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.4600 to $28.8900, inclusive. |
5. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.82 to $27.8100, inclusive. |
6. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.8200 to $28.0300, inclusive. |
7. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.6800 to $30.6700, inclusive. |
8. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.6800 to $31.6200, inclusive. |
9. Mr. Camp serves as the sole officer of Expa Holdings, Inc. and has sole voting and dispositive power over the shares held by Expa Holdings, Inc. |
10. Mr. Camp serves as the sole trustee of RMG 2018 Trust and has sole voting and dispositive power over the shares held by RMG 2018 Trust. |
11. Mr. Camp serves as the sole trustee of RMG 2019 Trust and has sole voting and dispositive power over the shares held by RMG 2019 Trust. |
Remarks: |
/s/ Keir Gumbs by Power of Attorney for Garrett Camp | 05/07/2020 | |
** 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 Number. |