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4//SEC Filing

West Tony 4

Accession 0001626201-26-000003

CIK 0001543151other
View on SEC.govCompany Profile

Filed

Jan 20, 7:00 PM ET

Accepted

Jan 21, 9:24 PM ET

Size

27.1 KB

Accession

0001626201-26-000003

Research Summary

AI-generated summary of this filing

Updated

Uber CLO Tony West: RSUs Vest; Shares Withheld & Open-Market Sale

What Happened

  • Tony West, Chief Legal Officer and Corporate Secretary of Uber (UBER), had RSUs convert into 8,759 shares on Jan 16, 2026. To satisfy tax withholding, 4,473 shares were surrendered (valued at $84.85/share, totaling ~$379,535). Separately, 3,125 shares were sold in the open market on Jan 20, 2026 at $83.50/share for proceeds of $260,938. The RSU conversions and withholdings are reported as derivative-related transactions; the sale was made pursuant to an existing Rule 10b5-1 plan.

Key Details

  • Transaction dates and prices:
    • RSU conversion/vesting: Jan 16, 2026 — total 8,759 shares converted (derivative conversion).
    • Shares withheld for taxes: 4,473 shares @ $84.85 = $379,535 (paid to cover tax liability).
    • Open-market sale: Jan 20, 2026 — 3,125 shares @ $83.50 = $260,938 (10b5-1 sale).
  • Net shares issued to West after withholding and sale: 1,161 shares (8,759 vested − 4,473 withheld − 3,125 sold).
  • Footnotes of note:
    • F1–F7: These transactions arise from monthly-vesting RSU grants (grants from 2022–2025 with 1/48 monthly vesting).
    • F2: Shares were withheld specifically to satisfy tax liabilities upon vesting.
    • F3: The open-market sale was executed under a Rule 10b5-1 trading plan adopted May 27, 2025.
  • Filing/timeliness: Form 4 filed Jan 21, 2026 for transactions occurring Jan 16 and Jan 20, 2026. This filing is timely (filed within the required two business days, accounting for the Jan 19 federal holiday).

Context

  • Transaction codes: M = conversion/exercise of derivative (here, RSUs converting to common stock); F = shares withheld to satisfy taxes; S = open-market sale. This was not a cash purchase — RSUs vested and were mostly used for tax withholding and a planned sale. Such vesting-and-withholding events are routine compensation actions; the separately executed 10b5-1 sale indicates the sale was done under a pre-established plan rather than as an ad-hoc trade.

Insider Transaction Report

Form 4
Period: 2026-01-16
Uber Technologies, IncUBER
West Tony
See Remarks
Transactions
  • Exercise/Conversion

    Common Stock

    [F1]
    2026-01-16+1,282→ 176,705 total
  • Exercise/Conversion

    Common Stock

    [F1]
    2026-01-16+1,494→ 178,199 total
  • Exercise/Conversion

    Common Stock

    [F1]
    2026-01-16+2,910→ 181,109 total
  • Exercise/Conversion

    Common Stock

    [F1]
    2026-01-16+3,073→ 184,182 total
  • Tax Payment

    Common Stock

    [F2]
    2026-01-16$84.85/sh−636$53,965→ 183,546 total
  • Tax Payment

    Common Stock

    [F2]
    2026-01-16$84.85/sh−741$62,874→ 182,805 total
  • Tax Payment

    Common Stock

    [F2]
    2026-01-16$84.85/sh−1,443$122,439→ 181,362 total
  • Tax Payment

    Common Stock

    [F2]
    2026-01-16$84.85/sh−1,653$140,257→ 179,709 total
  • Sale

    Common Stock

    [F3]
    2026-01-20$83.50/sh−3,125$260,938→ 176,584 total
  • Exercise/Conversion

    Restricted Stock Units

    [F1][F4]
    2026-01-16−1,282→ 48,714 total
    → Common Stock (1,282 underlying)
  • Exercise/Conversion

    Restricted Stock Units

    [F1][F5]
    2026-01-16−1,494→ 38,823 total
    → Common Stock (1,494 underlying)
  • Exercise/Conversion

    Restricted Stock Units

    [F1][F6]
    2026-01-16−2,910→ 40,745 total
    → Common Stock (2,910 underlying)
  • Exercise/Conversion

    Restricted Stock Units

    [F1][F7]
    2026-01-16−3,073→ 6,145 total
    → Common Stock (3,073 underlying)
Footnotes (7)
  • [F1]Restricted stock units (RSUs) convert into common stock on a one-for-one basis.
  • [F2]Shares withheld to satisfy tax liability upon vesting of RSUs on January 16, 2026.
  • [F3]This transaction was made pursuant to Mr. West's existing Rule 10b5-1 plan, adopted on May 27, 2025.
  • [F4]The reporting person was granted 61,533 RSUs on March 3, 2025. The vesting schedule is as follows: 1/48 of the total RSUs vested on April 16, 2025 and 1/48 of the total RSUs vest each month thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the Issuer.
  • [F5]The reporting person was granted 71,674 RSUs on March 1, 2024. The vesting schedule is as follows: 1/48 of the total RSUs vested on April 16, 2024 and 1/48 of the total RSUs vest each month thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the Issuer.
  • [F6]The reporting person was granted 139,697 RSUs on March 1, 2023. The vesting schedule is as follows: 1/48 of the total RSUs vested on April 16, 2023 and 1/48 of the total RSUs vest each month thereafter. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the Issuer.
  • [F7]The reporting person was granted 147,492 RSUs on March 1, 2022. The vesting schedule is as follows: 1/48 of the total RSUs vested on April 16, 2022 and 1/48 of the total RSUs vest each month thereafter. 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 Tony West|2026-01-21

Documents

1 file

Issuer

Uber Technologies, Inc

CIK 0001543151

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Entity typeother

Related Parties

1
  • filerCIK 0001626201

Filing Metadata

Form type
4
Filed
Jan 20, 7:00 PM ET
Accepted
Jan 21, 9:24 PM ET
Size
27.1 KB
View on SEC.gov