THAIN JOHN A

SEC source: 0001562180-23-004027 · primarydocument.xml · derivative · entry 4

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,402 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The reporting person was granted 8,402 restricted stock units (RSUs) on May 18, 2022. The RSUs vested on May 7, 2023, the date immediately preceding the date of the 2023 annual meeting of the stockholders of the Issuer. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the Issuer.

F3 · derivative.expiration_date: The reporting person was granted 8,402 restricted stock units (RSUs) on May 18, 2022. The RSUs vested on May 7, 2023, the date immediately preceding the date of the 2023 annual meeting of the stockholders of the Issuer. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the Issuer.

SEC source: 0001562180-23-004027 · primarydocument.xml · nonDerivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,003

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001562180-23-004027 · primarydocument.xml · derivative · entry 3

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 691 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The reporting person was granted 691 restricted stock units (RSUs) on April 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on April 16, 2023. This transaction was inadvertently omitted from the reporting person's previous Form 4 filings.

F2 · derivative.expiration_date: The reporting person was granted 691 restricted stock units (RSUs) on April 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on April 16, 2023. This transaction was inadvertently omitted from the reporting person's previous Form 4 filings.

F2 · balance_after: The reporting person was granted 691 restricted stock units (RSUs) on April 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on April 16, 2023. This transaction was inadvertently omitted from the reporting person's previous Form 4 filings.

SEC source: 0001562180-23-004027 · primarydocument.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,601

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: The reporting person was granted 691 restricted stock units (RSUs) on April 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on April 16, 2023. This transaction was inadvertently omitted from the reporting person's previous Form 4 filings.

SEC source: 0001562180-23-003538 · primarydocument.xml · derivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 691

Underlying: Common Stock · 691 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · shares: The reporting person was granted 691 restricted stock units ("RSUs") on April 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on April 16, 2023.

F2 · derivative.exercise_date: The reporting person was granted 691 restricted stock units ("RSUs") on April 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on April 16, 2023.

F2 · derivative.expiration_date: The reporting person was granted 691 restricted stock units ("RSUs") on April 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on April 16, 2023.

SEC source: 0001562180-23-000505 · primarydocument.xml · derivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 870 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The reporting person was granted 870 restricted stock units ("RSUs") on January 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and became payable in cash or common stock on a one-for-one basis at the election of the Issuer on January 16, 2023.

F2 · derivative.expiration_date: The reporting person was granted 870 restricted stock units ("RSUs") on January 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and became payable in cash or common stock on a one-for-one basis at the election of the Issuer on January 16, 2023.

SEC source: 0001562180-23-000505 · primarydocument.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,910

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001562180-23-000396 · primarydocument.xml · derivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870

Underlying: Common Stock · 870 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · shares: The reporting person was granted 870 restricted stock units ("RSUs") on January 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on January 16, 2023.

F2 · derivative.exercise_date: The reporting person was granted 870 restricted stock units ("RSUs") on January 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on January 16, 2023.

F2 · derivative.expiration_date: The reporting person was granted 870 restricted stock units ("RSUs") on January 10, 2023 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on January 16, 2023.

SEC source: 0001562180-22-007242 · primarydocument.xml · derivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 761 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The reporting person was granted 761 restricted stock units ("RSUs") on October 10, 2022 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and became payable in cash or common stock on a one-for-one basis at the election of the Issuer on October 16, 2022.

F2 · derivative.expiration_date: The reporting person was granted 761 restricted stock units ("RSUs") on October 10, 2022 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and became payable in cash or common stock on a one-for-one basis at the election of the Issuer on October 16, 2022.

SEC source: 0001562180-22-007242 · primarydocument.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,040

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001562180-22-007173 · primarydocument.xml · derivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 761

Underlying: Common Stock · 761 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · shares: The reporting person was granted 761 restricted stock units ("RSUs") on October 10, 2022 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on October 16, 2022.

F2 · derivative.exercise_date: The reporting person was granted 761 restricted stock units ("RSUs") on October 10, 2022 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on October 16, 2022.

F2 · derivative.expiration_date: The reporting person was granted 761 restricted stock units ("RSUs") on October 10, 2022 pursuant to the Uber Technologies, Inc. RSU Conversion and Deferral Program for Directors. The RSUs were 100% vested as of the date of grant and become payable in cash or common stock on a one-for-one basis at the election of the Issuer on October 16, 2022.

SEC source: 0001562180-22-004307 · primarydocument.xml · derivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,402

Underlying: Common Stock · 8,402 shares

Expires not disclosed

F1 · derivative.exercise_date: The restricted stock units ("RSUs") are scheduled to vest on the date immediately preceding the date of the 2023 annual meeting of the stockholders of the Issuer, subject to earlier vesting in certain circumstances. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer.

F1 · derivative.expiration_date: The restricted stock units ("RSUs") are scheduled to vest on the date immediately preceding the date of the 2023 annual meeting of the stockholders of the Issuer, subject to earlier vesting in certain circumstances. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer.

SEC source: 0001562180-22-003941 · primarydocument.xml · derivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,460 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The reporting person was granted 2,460 restricted stock units on January 10, 2022, vesting on May 8, 2022.

F2 · derivative.expiration_date: The reporting person was granted 2,460 restricted stock units on January 10, 2022, vesting on May 8, 2022.

SEC source: 0001562180-22-003941 · primarydocument.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,279

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001562180-22-000380 · primarydocument.xml · derivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,460

Underlying: Common Stock · 2,460 shares

Expires not disclosed

F1 · derivative.exercise_date: The restricted stock units (RSUs) are scheduled to vest on May 8, 2022, subject to earlier vesting in certain circumstances. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer.

F1 · derivative.expiration_date: The restricted stock units (RSUs) are scheduled to vest on May 8, 2022, subject to earlier vesting in certain circumstances. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer.

SEC source: 0001562180-22-000077 · primarydocument.xml · derivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,772 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The reporting person was granted 4,772 restricted stock units on January 1, 2021, vesting on December 31, 2021.

F2 · derivative.expiration_date: The reporting person was granted 4,772 restricted stock units on January 1, 2021, vesting on December 31, 2021.

SEC source: 0001562180-22-000077 · primarydocument.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,819

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001562180-21-000102 · primarydocument.xml · derivative · entry 3

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,772

Underlying: Common Stock · 4,772 shares

Expires not disclosed

F4 · derivative.expiration_date: The restricted stock units (RSUs) are scheduled to vest on December 31, 2021, subject to earlier vesting in certain circumstances. Upon vesting, RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer.

SEC source: 0001562180-21-000102 · primarydocument.xml · derivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,520 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The reporting person was granted 8,520 restricted stock units on February 5, 2020, vesting on December 31, 2020.

F3 · derivative.expiration_date: The reporting person was granted 8,520 restricted stock units on February 5, 2020, vesting on December 31, 2020.

SEC source: 0001562180-21-000102 · primarydocument.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,047

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: 368 shares were inadvertently omitted from the reporting person's holdings on prior Form 4s due to an administrative error.

SEC source: 0001562180-20-001031 · primarydocument.xml · derivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,520

Underlying: Common Stock · 8,520 shares

Expires not disclosed

F1 · derivative.exercise_date: The restricted stock units are scheduled to vest on December 31, 2020, subject to earlier vesting in certain circumstances. Upon vesting, restricted stock units become payable in cash or common stock on a one-for-one basis at the election of the issuer.

F1 · derivative.expiration_date: The restricted stock units are scheduled to vest on December 31, 2020, subject to earlier vesting in certain circumstances. Upon vesting, restricted stock units become payable in cash or common stock on a one-for-one basis at the election of the issuer.

SEC source: 0000899243-19-013303 · doc4.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,159

F1 · shares: Consists of restricted stock units ("RSUs") for which the performance condition was satisfied upon the effectiveness of the Company's initial public offering. Certain of the RSUs remain subject to service-based vesting conditions.

SEC source: 0001225208-09-001782 · doc4.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,671

F1 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $5.43 per share to $6.36 per share. Upon written request from the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, the reporting person will provide full information regarding the number of shares purchased at each price within the range.

SEC source: 0001225208-09-000512 · doc4.xml · derivative · entry 9

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,300

Underlying: Common Stock · 114,600 shares

Expires 2012-12-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Received in exchange for Merrill Lynch & Co., Inc. (Merrill) restricted stock units at an exchange ratio of .8595 of a Bank of America restricted stock unit for each Merrill restricted stock unit held prior to the merger on January 1, 2009. These restricted stock units vested 2/3 on the effective time of the merger. The remaining restricted stock units vest in four equal installments commencing December 1, 2009. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

F2 · kind: Received in exchange for Merrill Lynch & Co., Inc. (Merrill) restricted stock units at an exchange ratio of .8595 of a Bank of America restricted stock unit for each Merrill restricted stock unit held prior to the merger on January 1, 2009. These restricted stock units vested 2/3 on the effective time of the merger. The remaining restricted stock units vest in four equal installments commencing December 1, 2009. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

F2 · derivative.exercise_date: Received in exchange for Merrill Lynch & Co., Inc. (Merrill) restricted stock units at an exchange ratio of .8595 of a Bank of America restricted stock unit for each Merrill restricted stock unit held prior to the merger on January 1, 2009. These restricted stock units vested 2/3 on the effective time of the merger. The remaining restricted stock units vest in four equal installments commencing December 1, 2009. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

SEC source: 0001225208-09-000512 · doc4.xml · derivative · entry 8

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,900

Underlying: Common Stock · 171,900 shares

Expires 2012-12-03

F2 · derivative.exercise_price: Received in exchange for Merrill Lynch & Co., Inc. (Merrill) restricted stock units at an exchange ratio of .8595 of a Bank of America restricted stock unit for each Merrill restricted stock unit held prior to the merger on January 1, 2009. These restricted stock units vested 2/3 on the effective time of the merger. The remaining restricted stock units vest in four equal installments commencing December 1, 2009. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

F2 · kind: Received in exchange for Merrill Lynch & Co., Inc. (Merrill) restricted stock units at an exchange ratio of .8595 of a Bank of America restricted stock unit for each Merrill restricted stock unit held prior to the merger on January 1, 2009. These restricted stock units vested 2/3 on the effective time of the merger. The remaining restricted stock units vest in four equal installments commencing December 1, 2009. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

F2 · derivative.exercise_date: Received in exchange for Merrill Lynch & Co., Inc. (Merrill) restricted stock units at an exchange ratio of .8595 of a Bank of America restricted stock unit for each Merrill restricted stock unit held prior to the merger on January 1, 2009. These restricted stock units vested 2/3 on the effective time of the merger. The remaining restricted stock units vest in four equal installments commencing December 1, 2009. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

SEC source: 0001225208-09-000512 · doc4.xml · derivative · entry 7

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,532

Underlying: Common Stock · 26,532 shares

Expires 2010-02-03

F7 · kind: Received in exchange for Merrill Lynch & Co., Inc. (Merrill) restricted stock units at the rate of .8595 Bank of America restricted stock units for each Merrill restricted stock unit held prior to the merger of Merrill into Bank of America Corporation on January 1, 2009. The closing price of Merrill common stock on the last day prior to the merger was $11.64 per share.

F8 · derivative.exercise_date: These restricted stock units vest in two equal installments commencing on February 3, 2009.

SEC source: 0001225208-09-000512 · doc4.xml · derivative · entry 6

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,547,100

Underlying: Common Stock · 1,547,100 shares

Expires 2017-12-01

F4 · kind: Received in exchange for options to acquire Merrill Lynch & Co., Inc. (Merrill) common stock at an exchange ratio of .8595 of a share of Bank of America common stock for each share of Merrill common stock subject to such option in connection with the merger of Merrill into Bank of America on January 1, 2009. The exercise price per share of Bank of America stock issuable upon exercise of these options is equal to the exercise price per share of Merrill common stock at which such Merrill option was exercisable immediately prior to the effective time of the merger divided by .8595. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

F6 · derivative.exercise_date: These options fully vested on the effective date of the merger of Merrill Lynch & Co., Inc. into Bank of America Corporation.

SEC source: 0001225208-09-000512 · doc4.xml · derivative · entry 5

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,797

Underlying: Common Stock · 36,797 shares

Expires 2017-02-03

F4 · kind: Received in exchange for options to acquire Merrill Lynch & Co., Inc. (Merrill) common stock at an exchange ratio of .8595 of a share of Bank of America common stock for each share of Merrill common stock subject to such option in connection with the merger of Merrill into Bank of America on January 1, 2009. The exercise price per share of Bank of America stock issuable upon exercise of these options is equal to the exercise price per share of Merrill common stock at which such Merrill option was exercisable immediately prior to the effective time of the merger divided by .8595. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

F5 · derivative.exercise_date: These options vest 12,266 on each of February 3, 2008 and 2009 and 12,265 on February 3, 2010.

SEC source: 0001225208-09-000512 · doc4.xml · nonDerivative · entry 4

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Indirect · GRAT

Disclosed balance after: 214,875

F1 · kind: Received in exchange for common stock of Merrill Lynch & Co., Inc. (Merrill) at an exchange ratio of .8595 of a share of Bank of America common stock for each share of Merrill common stock in connection with the merger of Merrill into Bank of America on January 1, 2009. The closing price of Merrill common stock on the last day prior to the effective time of the merger was $11.64 per share.

SEC source: 0001225208-09-000512 · doc4.xml · nonDerivative · entry 3

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 465,071

F3 · kind: Disposition of shares to the issuer to satisfy the tax withholding obligation associated with the vesting of restricted stock which is exempt under Rule 16b-3(e).

SEC source: 0001225208-09-000512 · doc4.xml · nonDerivative · entry 2

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 558,445

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: Received in exchange for Merrill Lynch & Co., Inc. (Merrill) restricted stock units at an exchange ratio of .8595 of a Bank of America restricted stock unit for each Merrill restricted stock unit held prior to the merger on January 1, 2009. These restricted stock units vested 2/3 on the effective time of the merger. The remaining restricted stock units vest in four equal installments commencing December 1, 2009. The closing price of Merrill stock on the last day prior to the effective time of the merger was $11.64 per share.

SEC source: 0001225208-09-000512 · doc4.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Pres Glbl Bkg Sec & Wlth Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,845

F1 · kind: Received in exchange for common stock of Merrill Lynch & Co., Inc. (Merrill) at an exchange ratio of .8595 of a share of Bank of America common stock for each share of Merrill common stock in connection with the merger of Merrill into Bank of America on January 1, 2009. The closing price of Merrill common stock on the last day prior to the effective time of the merger was $11.64 per share.

F1 · price: Received in exchange for common stock of Merrill Lynch & Co., Inc. (Merrill) at an exchange ratio of .8595 of a share of Bank of America common stock for each share of Merrill common stock in connection with the merger of Merrill into Bank of America on January 1, 2009. The closing price of Merrill common stock on the last day prior to the effective time of the merger was $11.64 per share.

SEC source: 0000769993-04-000021 · thaineep_ex.xml · derivative · entry 8

THAIN JOHN A · CIK 0001090355 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 137,169 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 5, 2004, 137,169 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · price: On January 5, 2004, 137,169 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · derivative.exercise_date: On January 5, 2004, 137,169 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · derivative.expiration_date: On January 5, 2004, 137,169 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-04-000021 · thaineep_ex.xml · nonDerivative · entry 3

THAIN JOHN A · CIK 0001090355 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,134,061

SEC source: 0000769993-04-000021 · thaineep_ex.xml · nonDerivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,224,224

SEC source: 0000769993-04-000021 · thaineep_ex.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,271,230

F1 · price: On January 5, 2004, 137,169 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-03-000701 · thaineep_ex.xml · nonDerivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,134,061

SEC source: 0000769993-03-000701 · thaineep_ex.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,164,061

SEC source: 0000769993-03-000673 · thaineep_ex.xml · derivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,702

Underlying: Common Stock · 96,702 shares

Expires not disclosed

F1 · derivative.exercise_price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as an equity-based award by $94.44 (the average closing price-per-share of the Issuer's Common Stock on the New York Stock Exchange for the ten trading-day period up to and including the last day of the Issuer's 2003 fiscal year).

F1 · price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as an equity-based award by $94.44 (the average closing price-per-share of the Issuer's Common Stock on the New York Stock Exchange for the ten trading-day period up to and including the last day of the Issuer's 2003 fiscal year).

F2 · derivative.exercise_date: Of these RSUs, 25% vested upon grant, with the remaining 75% vesting on November 24, 2006. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2007.

F2 · derivative.expiration_date: Of these RSUs, 25% vested upon grant, with the remaining 75% vesting on November 24, 2006. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in or about January 2007.

F1 · derivative.underlying_shares: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as an equity-based award by $94.44 (the average closing price-per-share of the Issuer's Common Stock on the New York Stock Exchange for the ten trading-day period up to and including the last day of the Issuer's 2003 fiscal year).

SEC source: 0000769993-03-000453 · thaineep_ex.xml · nonDerivative · entry 4

THAIN JOHN A · CIK 0001090355 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 285,868

F5 · kind: On March 26, 2003, the Reporting Person donated 285,868 shares of the Issuer's common stock to a grantor retained annuity trust of which the Reporting Person is the sole trustee and the sole current beneficiary. This donation was exempt from Section 16 pursuant to Rule 16a-13 under the Act.

F5 · acquired: On March 26, 2003, the Reporting Person donated 285,868 shares of the Issuer's common stock to a grantor retained annuity trust of which the Reporting Person is the sole trustee and the sole current beneficiary. This donation was exempt from Section 16 pursuant to Rule 16a-13 under the Act.

F6 · balance_after: Following all transactions reported in Table I, the Reporting Person beneficially owned 2,284,061 shares of the Issuer's common stock directly.

F2 · ownership.nature: As trustee of grantor retained annuity tust

SEC source: 0000769993-03-000453 · thaineep_ex.xml · nonDerivative · entry 3

THAIN JOHN A · CIK 0001090355 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 104,909

F4 · kind: Reflects the distribution of 75,833 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act.

F4 · acquired: Reflects the distribution of 75,833 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act.

F2 · ownership.nature: As trustee of grantor retained annuity tust

SEC source: 0000769993-03-000453 · thaineep_ex.xml · nonDerivative · entry 2

THAIN JOHN A · CIK 0001090355 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 35,317

F3 · kind: Reflects the distribution of 27,707 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act.

F3 · acquired: Reflects the distribution of 27,707 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act.

F2 · ownership.nature: As trustee of grantor retained annuity tust

SEC source: 0000769993-03-000453 · thaineep_ex.xml · nonDerivative · entry 1

THAIN JOHN A · CIK 0001090355 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 148,906

F1 · kind: Reflects the distribution of 182,328 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act").

F1 · acquired: Reflects the distribution of 182,328 shares of the Issuer's common stock from this grantor retained annuity trust to the Reporting Person on March 26, 2003. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act").

F2 · ownership.nature: As trustee of grantor retained annuity tust