Sec Form 4 Filing - Camp Garrett @ Uber Technologies, Inc - 2019-11-12

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Camp Garrett
2. Issuer Name and Ticker or Trading Symbol
Uber Technologies, Inc [ UBER]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
1455 MARKET STREET, 4TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
11/12/2019
(Street)
SAN FRANCISCO, CA94103
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 11/12/2019 S( 1 ) 170,000 D $ 27.01 ( 2 ) 73,452,774 I Expa-1, LLC ( 3 )
Common Stock 11/13/2019 S( 1 ) 170,000 D $ 26.5 ( 4 ) 73,282,774 I Expa-1, LLC ( 3 )
Common Stock 11/14/2019 S( 1 ) 165,700 D $ 26.11 ( 5 ) 73,117,074 I Expa-1, LLC ( 3 )
Common Stock 11/14/2019 S( 1 ) 4,300 D $ 26.72 ( 6 ) 73,112,774 I Expa-1, LLC ( 3 )
Common Stock 459,840 I RMG Trust I ( 7 )
Common Stock 7,067,312 I RMG Trust II ( 8 )
Common Stock 143,700 I RMG Trust III ( 9 )
Common Stock 281,500 I RMG-Trust LLC ( 10 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Camp Garrett
1455 MARKET STREET, 4TH FLOOR
SAN FRANCISCO, CA94103
X
Signatures
/s/ Keir Gumbs by Power of Attorney for Garrett Camp 11/14/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This transaction was made pursuant to Mr. Camp's existing Rule 10b5-1 plan.
( 10 )Mr. Camp serves as the sole manager of RMG-Trust LLC and has sole voting and dispositive power over the shares held by RMG-Trust LLC.
( 2 )The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.68 to $27.66, 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), and (6) 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 $26.15 to $26.79, inclusive.
( 5 )The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.69 to $26.68, inclusive.
( 6 )The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.69 to $26.78, inclusive.
( 7 )These shares of Uber common stock, which were previously reported as owned by RMG-Trust LLC, were distributed to RMG Trust I on November 8, 2019. The reporting person retains indirect beneficial ownership of the shares.
( 8 )These shares of Uber common stock, which were previously reported as owned by RMG-Trust LLC (114,960 shares) and Expa-1, LLC (6,952,352 shares), were distributed to RMG Trust II on November 8, 2019. The reporting person retains indirect beneficial ownership of the shares.
( 9 )These shares of Uber common stock, which were previously reported as owned by RMG-Trust LLC, were distributed to RMG Trust III on November 8, 2019. The reporting person retains indirect beneficial ownership of the shares.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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