A Dark Vector Cognition product

Item 16. FORM 10-K SUMMARY

28K characters. Original on sec.gov ·

Item 16. FORM 10-K SUMMARY

None.

EXHIBIT INDEX

Exhibit No.Exhibit DescriptionProvidedIncorporated by Reference
HerewithFormFile NumberExhibitFiling Date
3.1Amended and Restated Certificate of Incorporation of the Registrant.8-K001-389023.1May 14, 2019
3.2Amended and Restated Bylaws of the Registrant.8-K001-389023.2May 14, 2019
4.1Description of Common Stock.10-K001-389024.1March 2, 2020
4.2Form of common stock certificate of the Registrant.S-1/A333-2308124.1April 26, 2019
4.5Indenture, relating to the Registrant’s 8.00% Senior Notes due 2026, by and between the Registrant and U.S. Bank National Association, dated November 7, 2018.S-1333-2308124.5April 11, 2019
4.6Form of 8.00% Senior Note due 2026.S-1333-2308124.6April 11, 2019
4.7Indenture, dated as of September 17, 2019, by and between the Registrant, Rasier, LLC and U.S. Bank National Association as Trustee.8-K001-389024.1September 17, 2019
4.8Form of Global Note, representing the Registrant’s 7.500% Senior Notes due 2027 (included as Exhibit A to the Indenture filed as Exhibit 4.1).8-K001-389024.2September 17, 2019
4.9Form of Unsecured Convertible Note.10-Q001-389024.1May 8, 2020
4.10Indenture, dated as of May 15, 2020, by and between the Registrant, Rasier, LLC and U.S. Bank National Association, as Trustee.8-K001-389024.1May 15, 2020
4.11Form of Global Note, representing the Registrant’s 7.500% Senior Notes due 2025 (included as Exhibit A to the Indenture filed as Exhibit 4.1).8-K001-389024.2May 15, 2020
4.12Indenture, dated as of September 16, 2020, by and between the Registrant, Rasier, LLC and U.S. Bank National Association, as Trustee.8-K001-389024.1September 16, 2020
4.13Form of Global Note, representing the Registrant’s 6.250% Senior Notes due 2028 (included as Exhibit A to the Indenture filed as Exhibit 4.1).8-K001-389024.2September 16, 2020
4.14Indenture, dated as of December 11, 2020, by and between the Registrant and U.S. Bank National Association, as Trustee.8-K001-389024.1December 11, 2020
4.15Form of Global Note, representing the Registrant’s 0% Convertible Senior Notes due 2025 (included as Exhibit A to the Indenture filed as Exhibit 4.1).8-K001-389024.2December 11, 2020
10.1Amended and Restated 2010 Stock Plan and related forms of award agreements.S-1333-23081210.1April 11, 2019
10.2Amended and Restated 2013 Equity Incentive Plan and related forms of award agreements.S-1/A333-23081210.2April 26, 2019
10.32019 Equity Incentive Plan and related forms of award agreements.S-1333-23081210.3April 11, 2019
10.42019 Employee Stock Purchase Plan.S-1333-23081210.4April 11, 2019
10.5Form of Indemnification Agreement between the Registrant and each of its directors and executive officers.S-1333-23081210.5April 11, 2019
10.62019 Executive Severance Plan.S-1333-23081210.6April 11, 2019
10.7Executive Bonus Plan.S-1333-23081210.7April 11, 2019
10.8Director Compensation Policy and Stock Ownership Guidelines.S-1333-23081210.8April 11, 2019
10.9Temporary Modification to Director Compensation Policy.10-Q001-3890210.3August 7, 2020
10.10Revolving Credit Agreement, by and among the Registrant, the Lenders party thereto, the Issuing Banks party thereto, and Morgan Stanley Senior Funding, Inc., dated June 26, 2015.S-1333-23081210.14April 11, 2019
10.11Amendment No. 1 to Revolving Credit Agreement, by and among the Registrant, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated November 17, 2015.S-1333-23081210.15April 11, 2019
10.12Amendment No. 2 to Revolving Credit Agreement, by and between the Registrant, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated December 21, 2015.S-1333-23081210.16April 11, 2019
10.13Joinder Agreement to Revolving Credit Agreement, by and among the Registrant, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated March 21, 2016.S-1333-23081210.17April 11, 2019
10.14Amendment No. 4 to Revolving Credit Agreement, by and among the Registrant, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated July 13, 2016.S-1333-23081210.18April 11, 2019
10.15Amendment No. 5 to Revolving Credit Agreement, by and among the Registrant, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated June 13, 2018.S-1333-23081210.19April 11, 2019
10.16Amendment No. 6 to Revolving Credit Agreement, by and among the Registrant, the Lenders party thereto, each Issuing Bank party thereto, and Morgan Stanley Senior Funding, Inc., dated October 25, 2018.S-1333-23081210.20April 11, 2019
10.17Amendment No. 7 to Revolving Credit Agreement, by and among the Registrant, Rasier LLC, the Lenders party thereto, each Issuing Bank party thereto, and Morgan Stanley Senior Funding, Inc., dated June 5, 2020.10-Q001-3890210.1August 7, 2020
10.18Term Loan Agreement, by and among the Registrant, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated July 13, 2016.S-1333-23081210.21April 11, 2019
10.19Amendment No. 1 to Term Loan Agreement, by and among the Registrant, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated June 13, 2018.S-1333-23081210.22April 11, 2019
10.20Term Loan Agreement, by and among the Registrant, the Lenders party thereto, and Cortland Capital Market Services LLC, dated April 4, 2018.S-1333-23081210.23April 11, 2019
10.21+Google Maps Master Agreement, by and between the Registrant and Google LLC, dated July 13, 2020.10-Q001-3890210.1November 6, 2020
10.22Employment Agreement, by and between the Registrant and Dara Khosrowshahi, dated April 9, 2019.S-1333-23081210.28April 11, 2019
10.23Letter Agreement Regarding Temporary Base Salary Change Due to COVID-19, by and between the Registrant and Dara Khosrowshahi, dated May 2, 2020.10-Q001-3890210.2August 7, 2020
10.24Employment Agreement, by and between the Registrant and Nelson Chai, dated April 9, 2019.S-1333-23081210.30April 11, 2019
10.25Addendum to Employment Agreement, by and between the Registrant and Nelson Chai, dated September 1, 2019.10-K001-3890210.29March 2, 2020
10.26Addendum to Employment Agreement, by and between the Registrant and Nelson Chai, dated February 28, 2020.10-K001-3890210.30March 2, 2020
10.27Employment Agreement, by and between the Registrant and Thuan Pham, dated April 9, 2019.S-1333-23081210.31April 11, 2019
10.28Employment Agreement, by and between the Registrant and Nikki Krishnamurthy, dated April 9, 2019.S-1333-23081210.32April 11, 2019
10.29Addendum to Employment Agreement, by and between the Registrant and Nikki Krishnamurthy, dated December 18, 2020.X
10.30‡Form of employment agreement between the Registrant and its executive officers.10-Q001-3890210.2November 6, 2020
18.1Preferability letter, dated March 1, 2021, from PricewaterhouseCoopers LLP, independent registered public accounting firm, regarding a change in the Registrant's accounting policy.X
21.1List of Subsidiaries of the Registrant.X
23.1Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm.X
24.1Power of Attorney (contained on signature page hereto).X
31.1Certification of the Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
31.2Certification of the Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
32.1*Certifications of the Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.X
101.INSXBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
101.SCHXBRL Taxonomy Extension Schema Document.
101.CALXBRL Taxonomy Extension Calculation Linkbase Document.
101.DEFXBRL Taxonomy Extension Definition Linkbase Document.
101.LABXBRL Taxonomy Extension Labels Linkbase Document.
101.PREXBRL Taxonomy Extension Presentation Linkbase Document.
104Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101).

+Portions of this exhibit have been omitted in accordance with Item 601(b)(10)(iv) of Regulation S-K.

‡This form of employment agreement will be used for all named executive officer employment agreements entered into and effective after July 1, 2020 unless otherwise noted.

  • The certifications attached as Exhibit 32.1 that accompany this Annual Report on Form 10-K are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of Uber Technologies, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

UBER TECHNOLOGIES, INC.
Date: February 26, 2021By: /s/ Dara Khosrowshahi
Dara Khosrowshahi
Chief Executive Officer and Director
(Principal Executive Officer)

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoint Dara Khosrowshahi, Nelson Chai, and Tony West, and each one of them, as his or her true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for him or her and in their name, place and stead, in any and all capacities, to sign any amendments to this Annual Report on Form 10-K, and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents or any of them, or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the following persons in the capacities and on the dates indicated.

SignatureTitleDate
/s/ Dara KhosrowshahiChief Executive Officer and DirectorFebruary 26, 2021
Dara Khosrowshahi(Principal Executive Officer)
/s/ Nelson ChaiChief Financial OfficerFebruary 26, 2021
Nelson Chai(Principal Financial Officer)
/s/ Glen CeremonyChief Accounting Officer and Global Corporate ControllerFebruary 26, 2021
Glen Ceremony(Principal Accounting Officer)
/s/ Ronald SugarChairperson of the Board of DirectorsFebruary 26, 2021
Ronald Sugar
/s/ Revathi AdvaithiDirectorFebruary 26, 2021
Revathi Advaithi
/s/ Ursula BurnsDirectorFebruary 26, 2021
Ursula Burns
/s/ Robert EckertDirectorFebruary 26, 2021
Robert Eckert
/s/ Amanda GinsbergDirectorFebruary 26, 2021
Amanda Ginsberg
/s/ Wan Ling MartelloDirectorFebruary 26, 2021
Wan Ling Martello
DirectorFebruary 26, 2021
H.E. Yasir Al-Rumayyan
/s/ John ThainDirectorFebruary 26, 2021
John Thain
/s/ David TrujilloDirectorFebruary 26, 2021
David Trujillo

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