Form 4 for UBER Uber
Accepted 2023-03-20 00:00:00 ET · period of report 2023-03-16 · accession 0001552781-23-000133 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-03-20 | 2023-03-16 | UBER | KHOSROWSHAHI DARA | CEO, Dir | F - Tax | $32.73 | -127.9K | 1.57M | -8% | -$4.19M |
| DM | 2023-03-20 | 2023-03-16 | UBER | KHOSROWSHAHI DARA | CEO, Dir | M - OptEx | — | +221.3K | 1.60M | +16% | — |
| DM | 2023-03-20 | 2023-03-16 | UBER | KHOSROWSHAHI DARA | CEO, Dir | M - OptEx | $0.00 | -221.3K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-03-16 | F | D | 15,079 | $32.73 | 1,552,685 | D | — | — | |
| 2 | Common | Common Stock | 2023-03-16 | F | D | 56,927 | $32.73 | 1,585,332 | D | — | — | |
| 3 | Common | Common Stock | 2023-03-16 | M | A | 40,627 | — | 1,642,259 | D | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. |
| 4 | Common | Common Stock | 2023-03-16 | M | A | 114,818 | — | 1,535,786 | D | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. |
| 5 | Common | Common Stock | 2023-03-16 | M | A | 35,433 | — | 1,571,219 | D | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. |
| 6 | Common | Common Stock | 2023-03-16 | F | D | 18,220 | $32.73 | 1,515,192 | D | — | — | (F3) Includes 870 shares acquired under Uber's stock purchase plan on May 20, 2022. |
| 7 | Common | Common Stock | 2023-03-16 | F | D | 20,143 | $32.73 | 1,532,542 | D | — | — | |
| 8 | Common | Common Stock | 2023-03-16 | F | D | 17,568 | $32.73 | 1,567,764 | D | — | — | |
| 9 | Common | Common Stock | 2023-03-16 | M | A | 30,413 | — | 1,601,632 | D | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. |
| 10 | Derivative | Restricted Stock Units | 2023-03-16 | M | D | 40,627 | $0.00 | 40,626 | D | — · — to — | 40,627 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F7) The reporting person was granted 162,506 restricted stock units (RSUs) on March 2, 2020. The vesting schedule is as follows: 1/4 of the total RSUs on March 16, 2021 and 1/4 of the total RSUs each annual anniversary thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. |
| 11 | Derivative | Restricted Stock Units | 2023-03-16 | M | D | 30,413 | $0.00 | 60,827 | D | — · — to — | 30,413 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F6) The reporting person was granted 121,654 restricted stock units (RSUs) on March 1, 2021. The vesting schedule is as follows: 1/4 of the total RSUs on March 16, 2022 and 1/4 of the total RUSs each annual anniversary thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. |
| 12 | Derivative | Restricted Stock Units | 2023-03-16 | M | D | 35,433 | $0.00 | 106,298 | D | — · — to — | 35,433 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F5) The reporting person was granted 141,731 restricted stock units (RSUs) on March 1, 2022. The vesting schedule is as follows: 1/4 of the total RSUs on March 16, 2023 and 1/4 of the total RSUs each annual anniversary thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. |
| 13 | Derivative | Restricted Stock Units | 2023-03-16 | M | D | 114,818 | $0.00 | 0 | D | — · — to — | 114,818 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F4) Consists of 114,818 restricted stock units (RSUs) granted to the reporting person on March 1, 2020 pursuant to Uber's 2019 Equity Incentive Plan, for which certain performance conditions have been satisfied and for which the time-based condition was satisfied on March 16, 2023. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. |