Uber Technologies Inc
For the period ended Dec 31, 2023. Filed Feb 15, 2024.
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FY2023 · Filed Feb 15, 2024
UBER$71.17+3.8%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Exhibit Index
| ExhibitNo. · Exhibit Description · Provided · Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Herewith · Form · File Number · Exhibit · Filing Date | ||||||
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant. | 10-Q | 001-38902 | 3.1 | August 5, 2021 | |
| 3.2 | Amended and Restated Bylaws of the Registrant. | X | ||||
| 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 | |
| 4.3 | 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 | |
| 4.4 | Form of 8.00% Senior Note due 2026. | S-1 | 333-230812 | 4.6 | April 11, 2019 | |
| 4.5 | Supplemental Indenture, dated September 6, 2019, among the Registrant, Rasier, LLC and U.S. Bank National Association, as trustee, relating to the Registrant’s 8.00% Senior Notes due 2026. | 10-Q | 001-38902 | 4.1 | August 2, 2023 | |
| 4.6 | Supplemental Indenture, dated June 2, 2023, among the Registrant, Uber International Holding Corporation and U.S. Bank Trust Company, National Association (as successor to U.S. Bank National Association), as trustee, relating to the Registrant’s 8.00% Senior Notes due 2026. | 10-Q | 001-38902 | 4.3 | August 2, 2023 | |
| 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 | Supplemental Indenture, dated June 2, 2023, among the Registrant, Uber International Holding Corporation and U.S. Bank Trust Company, National Association (as successor to U.S. Bank National Association), as trustee, relating to the Registrant’s 7.50% Senior Notes due 2027. | 10-Q | 001-38902 | 4.4 | August 2, 2023 | |
| 4.10 | Form of Unsecured Convertible Note. | 10-Q | 001-38902 | 4.1 | May 8, 2020 | |
| 4.11 | 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 | |
| 4.12 | 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 | Supplemental Indenture, dated June 2, 2023, among the Registrant, Uber International Holding Corporation and U.S. Bank Trust Company, National Association (as successor to U.S. Bank National Association), as trustee, relating to the Registrant’s 6.25% Senior Notes due 2028. | 10-Q | 001-38902 | 4.5 | August 2, 2023 | |
| 4.15 | 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 | |
| 4.16 | 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 | |
| 4.17 | Indenture, dated as of August 12, 2021, by and between the Registrant, Rasier, LLC and U.S. Bank National Association, as Trustee. | 8-K | 001-38902 | 4.1 | August 12, 2021 | |
| 4.18 | Form of Global Note, representing the Registrant’s 4.50% Senior Notes due 2029 (included as Exhibit A to the Indenture filed as Exhibit 4.1). | 8-K | 001-38902 | 4.2 | August 12, 2021 | |
| 4.19 | Supplemental Indenture, dated June 2, 2023, among the Registrant, Uber International Holding Corporation and U.S. Bank Trust Company, National Association (as successor to U.S. Bank National Association), as trustee, relating to the Registrant’s 4.50% Senior Notes due 2029. | 10-Q | 001-38902 | 4.6 | August 2, 2023 | |
| 4.20 | Indenture, dated as of November 24, 2023, by and between Uber Technologies, Inc. and U.S. Bank Trust Company National Association, as Trustee. | 8-K | 001-38902 | 4.1 | November 24, 2023 | |
| 4.21 | Form of Global Note, representing Uber Technologies, Inc.’s 0.875% Convertible Senior Notes due 2028 (included as Exhibit A to the Indenture filed as Exhibit 4.1). | 8-K | 001-38902 | 4.2 | November 24, 2023 | |
| 4.22 | First Supplemental Indenture, dated as of November 24, 2023, by and between Uber Technologies, Inc. and U.S. Bank Trust Company National Association, as trustee. | 8-K | 001-38902 | 4.3 | November 24, 2023 | |
| 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 | Form of Indemnification Agreement between the Registrant and each of its directors and executive officers, effective as of November 2024. | X | ||||
| 10.7 | 2019 Executive Severance Plan. | S-1 | 333-230812 | 10.6 | April 11, 2019 | |
| 10.8 | Amended and Restated 2019 Executive Severance Plan. | 8-K | 001-38902 | 10.2 | June 30, 2023 | |
| 10.9 | Executive Bonus Plan. | S-1 | 333-230812 | 10.7 | April 11, 2019 | |
| 10.10 | Director Compensation Policy and Stock Ownership Guidelines | 10-Q | 001-38902 | 10.2 | August 4, 2022 | |
| 10.11 | RSU Conversion and Deferral Program for Directors. | 10-Q | 001-38902 | 10.1 | May 5, 2022 | |
| 10.12 | 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 | |
| 10.13 | 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 | |
| 10.14 | 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 | |
| 10.15 | 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 | |
| 10.16 | 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 | |
| 10.17 | 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 |
| 10.18 | 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 |
| 10.19 | 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 |
| 10.20 | Amendment No. 8 to Revolving Credit Agreement, by and among the Registrant, Rasier LLC, the Lenders party thereto, and Morgan Stanley Senior Funding, Inc., dated December 24, 2021. | 10-K | 001-38902 | 10.17 | February 24, 2022 |
| 10.21 | Amendment No. 9 to Revolving Credit Agreement, dated April 4, 2022, by and among the Registrant, as borrower, Rasier, LLC, as guarantor, the lenders party thereto, and Morgan Stanley Senior Funding, Inc., as administrative agent. | 8-K | 001-38902 | 10.1 | April 5, 2022 |
| 10.22 | Joinder Agreement, dated July 28, 2023, among the Registrant, Mizuho Bank Ltd., as an incremental revolving lender, Morgan Stanley Senior Funding, Inc., as administrative agent, and other parties thereto. | 8-K | 001-38902 | 10.1 | August 1, 2023 |
| 10.23 | 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 |
| 10.24 | 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 |
| 10.25 | Amendment No. 2 to Term Loan Agreement, dated February 25, 2021, by and among the Registrant as Borrower, Rasier LLC as subsidiary guarantor, the lenders party thereto, and Morgan Stanley Senior Funding, Inc., as administrative agent for the lenders. | 8-K | 001-38902 | 10.1 | March 1, 2021 |
| 10.26 | Amendment No. 3 to Term Loan Agreement, dated March 3, 2023, by and among Uber Technologies, Inc. as borrower, Rasier, LLC as subsidiary guarantor, the lenders party thereto and Morgan Stanley Senior Funding Inc., as administrative agent for the lenders. | 8-K | 001-38902 | 10.1 | March 3, 2023 |
| 10.27 | Amendment No. 4 to Term Loan Agreement, dated March 14, 2023, by and among Uber Technologies, Inc. as borrower, Rasier, LLC as subsidiary guarantor, the lenders party thereto and Morgan Stanley Senior Funding Inc., as administrative agent for the lenders. | 8-K | 001-38902 | 10.1 | March 14, 2023 |
| 10.28 | Form of Capped Call Confirmation between Uber Technologies, Inc. and each option counterparty. | 8-K | 001-38902 | 10.1 | November 24, 2023 |
| 10.29+ | 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 |
| 10.30+ | Amendment to the Google Maps Master Agreement - Platform Rides and Deliveries Solution Service Schedule, by and between the Registrant and Google LLC, dated February 9, 2022 | 10-Q | 001-38902 | 10.2 | May 5, 2022 |
| 10.31+ | Second Amendment to the Google Maps Master Agreement - Platform Rides and Deliveries Solution Service Schedule, dated June 15, 2023, among Google LLC and the Registrant. | 10-Q | 001-38902 | 10.1 | August 2, 2023 |
| 10.32 | Employment Agreement, by and between the Registrant and Dara Khosrowshahi, dated June 28, 2023. | 8-K | 001-38902 | 10.3 | June 30, 2023 |
| 10.33 | Employment Agreement, by and between the Registrant and Nelson Chai, dated April 9, 2019. | S-1 | 333-230812 | 10.30 | April 11, 2019 |
| 10.34 | 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 | |
| 10.35 | 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 | |
| 10.36 | Employment Agreement, by and between the Registrant and Nikki Krishnamurthy, dated April 9, 2019. | S-1 | 333-230812 | 10.32 | April 11, 2019 | |
| 10.37 | Addendum to Employment Agreement, by and between the Registrant and Nikki Krishnamurthy, dated December 18, 2020. | 10-K | 001-38902 | 10.29 | March 1, 2021 | |
| 10.38‡ | Form of employment agreement between the Registrant and its executive officers. | 10-Q | 001-38902 | 10.2 | November 6, 2020 | |
| 21.1 | List of Subsidiaries of the Registrant. | X | ||||
| 23.1 | Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm. | X | ||||
| 24.1 | Power of Attorney (contained on signature page hereto). | X | ||||
| 31.1 | Certification 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 | ||||
| 31.2 | Certification 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 | ||||
| 97.1 | Clawback Policy | 8-K | 001-38902 | 10.1 | June 30, 2023 | |
| 101.INS | XBRL 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.SCH | XBRL Taxonomy Extension Schema Document. | |||||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. | |||||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. | |||||
| 101.LAB | XBRL Taxonomy Extension Labels Linkbase Document. | |||||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document. | |||||
| 104 | Cover 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.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.