SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
PUBLIC INVESTMENT FUND

(Last) (First) (Middle)
3884 PRINCE TURKI IBN ABDUL AZIZ AL-AWAL
ROAD

(Street)
RIYADH T0 11452

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/09/2019
3. Issuer Name and Ticker or Trading Symbol
Uber Technologies, Inc [ UBER ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series G Redeemable Convertible Preferred Stock (1) (1) Common Stock 72,840,541 (1) D(2)
Explanation of Responses:
1. The shares of Series G Redeemable Convertible Preferred Stock ("Series G Preferred Stock") of Uber Technologies, Inc. (the "Issuer") are presently convertible, at the option of the holder, into shares of the Issuer's common stock on a one-for-one basis. Shares of Series G Preferred Stock will automatically convert into shares of the Issuer's common stock on a one-for-one basis, without payment or further consideration, immediately prior to the consummation of the Issuer's initial public offering. The shares of Series G Preferred Stock do not expire.
2. The Public Investment Fund is the sovereign wealth fund of the Kingdom of Saudi Arabia.
Remarks:
His Excellency Yasir Al-Rumayyan, the managing director of The Public Investment Fund ("PIF"), serves on the Board of Directors (the "Board") of Uber Technologies, Inc. (the "Issuer") as a representative of PIF. PIF is filing this Form 3 as a director by deputization by virtue of its representation on the Board of the Issuer.
THE PUBLIC INVESTMENT FUND, Name: /s/ H.E. Yasir Al-Rumayyan, Title: Managing Director 05/09/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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