Statement of Changes in Beneficial Ownership (4)
February 20 2020 - 6:42PM
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
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Camp Garrett |
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)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1455 MARKET STREET, 4TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/18/2020 |
(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 | 2/14/2020 | | G(1) |
V
| 25221.00 | D | $0.00 | 49103387.00 | I | Expa-1, LLC (2) |
Common Stock | 2/18/2020 | | S(3) | | 170000.00 | D | $39.8554 (4) | 48933387.00 | I | Expa-1, LLC (2) |
Common Stock | 2/19/2020 | | S(3) | | 163588.00 | D | $40.8094 (5) | 48769799.00 | I | Expa-1, LLC (2) |
Common Stock | 2/19/2020 | | S(3) | | 6412.00 | D | $41.1551 (6) | 48763387.00 | I | Expa-1, LLC (2) |
Common Stock | 2/20/2020 | | S(3) | | 141589.00 | D | $40.5711 (7) | 48621798.00 | I | Expa-1, LLC (2) |
Common Stock | 2/20/2020 | | S(3) | | 28411.00 | D | $40.974 (8) | 48593387.00 | I | Expa-1, LLC (2) |
Common Stock | | | | | | | | 955666.00 | I | Expa Holdings, Inc. (9) |
Common Stock | | | | | | | | 7523999.00 | I | RMG 2018 Trust (10) |
Common Stock | | | | | | | | 12476001.00 | I | RMG 2019 Trust (11) |
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) | Represents a gift of shares held by Expa-1, LLC. Following the transaction, the reporting person has neither investment control over nor a pecuniary interest in the transferred shares. |
(2) | 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. |
(3) | This transaction was made pursuant to Mr. Camp's existing Rule 10b5-1 plan. |
(4) | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.46 to $40.26, 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 (4), (5), (6), (7), and (8) to this Form 4. |
(5) | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.12 to $41.11, inclusive. |
(6) | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.12 to $41.23, inclusive. |
(7) | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.86 to $40.85, inclusive. |
(8) | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.86 to $41.18, 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Camp Garrett 1455 MARKET STREET, 4TH FLOOR SAN FRANCISCO, CA 94103 | X |
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Signatures
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/s/ Keir Gumbs by Power of Attorney for Garrett Camp | | 2/20/2020 |
**Signature of Reporting Person | Date |
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