None.
EXHIBIT INDEX
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
|---|
| Exhibit No. | | | | | | Exhibit Description | | | | | | Provided | | | | | | Incorporated by Reference | | | | | | | | | | | | | | | | | | | | |
| | | Herewith | | | | | | Form | | | | | | File Number | | | | | | Exhibit | | | | | | Filing Date | | | | | | | | | | | |
| 3.1 | | | | | | Amended and Restated Certificate of Incorporation of the Registrant. | | | | | | | | | | | | 8-K | | | | | | 001-38902 | | | | | | 3.1 | | | | | | May 14, 2019 | | |
| 3.2 | | | | | | Amended and Restated Bylaws of the Registrant. | | | | | | | | | | | | 8-K | | | | | | 001-38902 | | | | | | 3.2 | | | | | | May 14, 2019 | | |
| 4.1 | | | | | | Description of Common Stock. | | | | | | | | | | | | 10-K | | | | | | 001-38902 | | | | | | 4.1 | | | | | | March 2, 2020 | | |
| 4.2 | | | | | | Form of common stock certificate of the Registrant. | | | | | | | | | | | | S-1/A | | | | | | 333-230812 | | | | | | 4.1 | | | | | | April 26, 2019 | | |
| 4.5 | | | | | | Indenture, 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-1 | | | | | | 333-230812 | | | | | | 4.5 | | | | | | April 11, 2019 | | |
| 4.6 | | | | | | Form of 8.00% Senior Note due 2026. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 4.6 | | | | | | April 11, 2019 | | |
| 4.7 | | | | | | Indenture, dated as of September 17, 2019, by and between the Registrant, Rasier, LLC and U.S. Bank National Association as Trustee. | | | | | | | | | | | | 8-K | | | | | | 001-38902 | | | | | | 4.1 | | | | | | September 17, 2019 | | |
| 4.8 | | | | | | Form 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-K | | | | | | 001-38902 | | | | | | 4.2 | | | | | | September 17, 2019 | | |
| 4.9 | | | | | | Form of Unsecured Convertible Note. | | | | | | | | | | | | 10-Q | | | | | | 001-38902 | | | | | | 4.1 | | | | | | May 8, 2020 | | |
| 4.10 | | | | | | Indenture, dated as of May 15, 2020, by and between the Registrant, Rasier, LLC and U.S. Bank National Association, as Trustee. | | | | | | | | | | | | 8-K | | | | | | 001-38902 | | | | | | 4.1 | | | | | | May 15, 2020 | | |
| 4.11 | | | | | | Form 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-K | | | | | | 001-38902 | | | | | | 4.2 | | | | | | May 15, 2020 | | |
| 4.12 | | | | | | Indenture, dated as of September 16, 2020, by and between the Registrant, Rasier, LLC and U.S. Bank National Association, as Trustee. | | | | | | | | | | | | 8-K | | | | | | 001-38902 | | | | | | 4.1 | | | | | | September 16, 2020 | | |
| 4.13 | | | | | | Form 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-K | | | | | | 001-38902 | | | | | | 4.2 | | | | | | September 16, 2020 | | |
| 4.14 | | | | | | Indenture, dated as of December 11, 2020, by and between the Registrant and U.S. Bank National Association, as Trustee. | | | | | | | | | | | | 8-K | | | | | | 001-38902 | | | | | | 4.1 | | | | | | December 11, 2020 | | |
| 4.15 | | | | | | Form 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-K | | | | | | 001-38902 | | | | | | 4.2 | | | | | | December 11, 2020 | | |
| 10.1 | | | | | | Amended and Restated 2010 Stock Plan and related forms of award agreements. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.1 | | | | | | April 11, 2019 | | |
| 10.2 | | | | | | Amended and Restated 2013 Equity Incentive Plan and related forms of award agreements. | | | | | | | | | | | | S-1/A | | | | | | 333-230812 | | | | | | 10.2 | | | | | | April 26, 2019 | | |
| 10.3 | | | | | | 2019 Equity Incentive Plan and related forms of award agreements. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.3 | | | | | | April 11, 2019 | | |
| 10.4 | | | | | | 2019 Employee Stock Purchase Plan. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.4 | | | | | | April 11, 2019 | | |
| 10.5 | | | | | | Form of Indemnification Agreement between the Registrant and each of its directors and executive officers. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.5 | | | | | | April 11, 2019 | | |
| 10.6 | | | | | | 2019 Executive Severance Plan. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.6 | | | | | | April 11, 2019 | | |
| 10.7 | | | | | | Executive Bonus Plan. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.7 | | | | | | April 11, 2019 | | |
| 10.8 | | | | | | Director Compensation Policy and Stock Ownership Guidelines. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.8 | | | | | | April 11, 2019 | | |
| 10.9 | | | | | | Temporary Modification to Director Compensation Policy. | | | | | | | | | | | | 10-Q | | | | | | 001-38902 | | | | | | 10.3 | | | | | | August 7, 2020 | | |
| 10.10 | | | | | | Revolving 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-1 | | | | | | 333-230812 | | | | | | 10.14 | | | | | | April 11, 2019 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
|---|
| 10.11 | | | | | | Amendment 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-1 | | | | | | 333-230812 | | | | | | 10.15 | | | | | | April 11, 2019 | | |
| 10.12 | | | | | | Amendment 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-1 | | | | | | 333-230812 | | | | | | 10.16 | | | | | | April 11, 2019 | | |
| 10.13 | | | | | | Joinder 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-1 | | | | | | 333-230812 | | | | | | 10.17 | | | | | | April 11, 2019 | | |
| 10.14 | | | | | | Amendment 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-1 | | | | | | 333-230812 | | | | | | 10.18 | | | | | | April 11, 2019 | | |
| 10.15 | | | | | | Amendment 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-1 | | | | | | 333-230812 | | | | | | 10.19 | | | | | | April 11, 2019 | | |
| 10.16 | | | | | | Amendment 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-1 | | | | | | 333-230812 | | | | | | 10.20 | | | | | | April 11, 2019 | | |
| 10.17 | | | | | | Amendment 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-Q | | | | | | 001-38902 | | | | | | 10.1 | | | | | | August 7, 2020 | | |
| 10.18 | | | | | | Term Loan Agreement, by and among the Registrant, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated July 13, 2016. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.21 | | | | | | April 11, 2019 | | |
| 10.19 | | | | | | Amendment 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-1 | | | | | | 333-230812 | | | | | | 10.22 | | | | | | April 11, 2019 | | |
| 10.20 | | | | | | Term Loan Agreement, by and among the Registrant, the Lenders party thereto, and Cortland Capital Market Services LLC, dated April 4, 2018. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.23 | | | | | | April 11, 2019 | | |
| 10.21+ | | | | | | Google Maps Master Agreement, by and between the Registrant and Google LLC, dated July 13, 2020. | | | | | | | | | | | | 10-Q | | | | | | 001-38902 | | | | | | 10.1 | | | | | | November 6, 2020 | | |
| 10.22 | | | | | | Employment Agreement, by and between the Registrant and Dara Khosrowshahi, dated April 9, 2019. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.28 | | | | | | April 11, 2019 | | |
| 10.23 | | | | | | Letter Agreement Regarding Temporary Base Salary Change Due to COVID-19, by and between the Registrant and Dara Khosrowshahi, dated May 2, 2020. | | | | | | | | | | | | 10-Q | | | | | | 001-38902 | | | | | | 10.2 | | | | | | August 7, 2020 | | |
| 10.24 | | | | | | Employment Agreement, by and between the Registrant and Nelson Chai, dated April 9, 2019. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.30 | | | | | | April 11, 2019 | | |
| 10.25 | | | | | | Addendum to Employment Agreement, by and between the Registrant and Nelson Chai, dated September 1, 2019. | | | | | | | | | | | | 10-K | | | | | | 001-38902 | | | | | | 10.29 | | | | | | March 2, 2020 | | |
| 10.26 | | | | | | Addendum to Employment Agreement, by and between the Registrant and Nelson Chai, dated February 28, 2020. | | | | | | | | | | | | 10-K | | | | | | 001-38902 | | | | | | 10.30 | | | | | | March 2, 2020 | | |
| 10.27 | | | | | | Employment Agreement, by and between the Registrant and Thuan Pham, dated April 9, 2019. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.31 | | | | | | April 11, 2019 | | |
| 10.28 | | | | | | Employment Agreement, by and between the Registrant and Nikki Krishnamurthy, dated April 9, 2019. | | | | | | | | | | | | S-1 | | | | | | 333-230812 | | | | | | 10.32 | | | | | | April 11, 2019 | | |
| 10.29 | | | | | | Addendum 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-Q | | | | | | 001-38902 | | | | | | 10.2 | | | | | | November 6, 2020 | | |
+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, 2021 | | | By: /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.
| | | | | | | | | | | | | | |
|---|
| Signature | | | | | | Title | | | | | | Date | | |
| | | | | | | | | | | | | | |
| /s/ Dara Khosrowshahi | | | | | | Chief Executive Officer and Director | | | | | | February 26, 2021 | | |
| Dara Khosrowshahi | | | | | | (Principal Executive Officer) | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ Nelson Chai | | | | | | Chief Financial Officer | | | | | | February 26, 2021 | | |
| Nelson Chai | | | | | | (Principal Financial Officer) | | | | | | | | |
| | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ Glen Ceremony | | | | | | Chief Accounting Officer and Global Corporate Controller | | | | | | February 26, 2021 | | |
| Glen Ceremony | | | | | | (Principal Accounting Officer) | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ Ronald Sugar | | | | | | Chairperson of the Board of Directors | | | | | | February 26, 2021 | | |
| Ronald Sugar | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ Revathi Advaithi | | | | | | Director | | | | | | February 26, 2021 | | |
| Revathi Advaithi | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ Ursula Burns | | | | | | Director | | | | | | February 26, 2021 | | |
| Ursula Burns | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ Robert Eckert | | | | | | Director | | | | | | February 26, 2021 | | |
| Robert Eckert | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ Amanda Ginsberg | | | | | | Director | | | | | | February 26, 2021 | | |
| Amanda Ginsberg | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ Wan Ling Martello | | | | | | Director | | | | | | February 26, 2021 | | |
| Wan Ling Martello | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| | | | | | Director | | | | | | February 26, 2021 | | |
| H.E. Yasir Al-Rumayyan | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ John Thain | | | | | | Director | | | | | | February 26, 2021 | | |
| John Thain | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
| /s/ David Trujillo | | | | | | Director | | | | | | February 26, 2021 | | |
| David Trujillo | | | | | | | | | | | | | | |