THAIN JOHN A 4

4 · Uber Technologies, Inc · Filed May 5, 2026

AI-generated summary of this filing

Updated May 5, 2026

Uber (UBER) Director John Thain Exercises RSUs, Receives New RSU Grant

What Happened

John A. Thain, a director of Uber Technologies, had 4,091 restricted stock units (RSUs) that vested on May 3, 2026. The Form 4 records an exercise/conversion (code M) of 4,091 derivative securities and a simultaneous disposition of 4,091 derivative securities at $0.00 — consistent with the RSUs being settled for cash rather than shares.
On May 5, 2026, Thain was granted 4,045 new RSUs (code A) under Uber’s 2019 Equity Incentive Plan. The grant is reported at $0.00 per share (typical for RSU awards) and is scheduled to vest on the date immediately preceding the 2027 annual meeting, subject to certain conditions.

Key Details

Transaction dates: May 3, 2026 (vest/settlement) and May 5, 2026 (new RSU grant). Form filed May 5, 2026 (timely).
Reported prices/values: $0.00 per share reported for the settlement/disposition and for the new RSU grant (reflects derivative/award accounting, not market trades).
Shares involved: 4,091 RSUs vested/settled; 4,045 RSUs newly granted. The filing does not state Thain’s total common shares owned after these transactions.
Footnotes: F2 confirms the May 6, 2025 grant of 4,091 RSUs vested immediately before the 2026 annual meeting and are payable in cash or stock at the issuer’s election (explains cash settlement). F3 describes the new 4,045 RSU grant and its vesting schedule.
Filing timeliness: Not reported as late (transaction date May 3; Form 4 filed May 5).

Context

These events are derivative/award actions (RSU vesting and grant), not open‑market purchases or sales by the insider. The May 3 entry reflects conversion/settlement of RSUs (cash settlement per footnote), which is routine compensation, while the May 5 entry is a forward‑vesting equity award for future compensation.
Such grants and cash settlements are common for directors and do not by themselves indicate buying or selling sentiment in the market.

Form 4

Period: 2026-05-03

Director

Transactions

Exercise/Conversion
Common Stock
[F1]
2026-05-03+4,091→ 186,876 total
Exercise/Conversion
Restricted Stock Units
[F1][F2]
2026-05-03−4,091→ 0 total
→ Common Stock (4,091 underlying)
Award
Restricted Stock Units
[F3]
2026-05-05+4,045→ 4,045 total
Exercise: $0.00→ Common Stock (4,045 underlying)

Footnotes (3)

[F1]Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.
[F2]The reporting person was granted 4,091 RSUs on May 6, 2025. The RSUs vested on the date immediately preceding the date of the 2026 annual meeting of the stockholders of the Issuer. Upon vesting, the RSUs became payable in cash or common stock on a one-for-one basis at the election of the Issuer.
[F3]The reporting person was granted 4,045 RSUs on May 5, 2026 pursuant to Uber's 2019 Equity Incentive Plan. The RSUs are scheduled to vest on the date immediately preceding the date of the 2027 annual meeting of the stockholders of the Issuer, subject to earlier vesting in certain circumstances. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the Issuer.

Signature

/s/ Carolyn Mo by Power of Attorney for John A. Thain|2026-05-05

1 file