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SB INVESTMENT ADVISERS (UK) LTD

Disclosed activity across 15 companies

Tapewire entity
15722
SEC CIK
0001731509

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
10x Genomics, Inc.TXG · Entity 217210% ownerSeptember 16, 2019March 18, 2020
Coupang, Inc.CPNG · Entity 315710% ownerAugust 20, 2025August 23, 2025
DoorDash, Inc.DASH · Entity 154110% ownerOctober 27, 2021October 29, 2021
Getaround, IncGETR · Entity 3686610% ownerDecember 08, 2022December 19, 2022
Opendoor Technologies Inc.OPEN · Entity 424210% ownerSeptember 16, 2021September 20, 2021
View, Inc.VIEW · Entity 9122510% ownerMarch 08, 2021March 18, 2021
WeWork Inc.WE · Entity 8920110% ownerOctober 20, 2021November 01, 2021

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

10x Genomics, Inc.

Report date September 16, 2019 · Filed March 18, 2020

Jointly reported with SOFTBANK VISION FUND (AIV M2) L.P.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnote3,836,232 Reported balance After 2020-02-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-02-19 · Conversion · Acquired 3,836,232 · Balance 3,836,232

F1: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F3: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee footnote3,836,232 Reported balance After 2019-09-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-09-16 · Conversion · Acquired 3,836,232 · Balance 3,836,232

F1: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F3: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-02-19 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-02-19 · Conversion · Disposed 3,836,232 · Balance 0

F1: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F3: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Series C Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2019-09-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2019-09-16 · Conversion · Disposed 2,791,300 · Balance 0

F2: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F1: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F3: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Series D Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2019-09-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2019-09-16 · Conversion · Disposed 1,044,932 · Balance 0

F2: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F1: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F3: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F2: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F3: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Coupang, Inc.

Report date August 20, 2025 · Filed August 23, 2025

Jointly reported with SVF Investments (UK) Ltd

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnote289,542,259 Reported balance After 2025-08-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-08-20 · Sale · Disposed 20,000,000 · Balance 289,542,259

F1: The securities reported herein are held of record by SVF Investments (UK) Limited ("SVF Investments"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") of SVF Investments, is exclusively responsible for managing SVF Investments in accordance with the Alternative Investment Fund Managers Directive, and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF Investments, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, and disposal of the investments held by SVF Investments.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported herein are held of record by SVF Investments (UK) Limited ("SVF Investments"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") of SVF Investments, is exclusively responsible for managing SVF Investments in accordance with the Alternative Investment Fund Managers Directive, and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF Investments, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, and disposal of the investments held by SVF Investments.

DoorDash, Inc.

Report date October 27, 2021 · Filed October 29, 2021

Jointly reported with SVF Fast (Cayman) Ltd, SOFTBANK VISION FUND (AIV M2) L.P.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote33,573,485 Reported balance After 2021-10-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-10-27 · Sale · Disposed 10,000,000 · Balance 33,573,485

F1: SVF Fast (Cayman) Limited ("SVF Fast") is the record holder of 3,573,485 shares of Common Stock and SVF Swift (Cayman) Limited ("SVF Swift") is the record holder of 30,000,000 shares of Common Stock. SVF Swift is a wholly owned subsidiary of SVF Fast, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M2) L.P. ("AIV M2"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing AIV M2 in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of AIV M2, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of AIV M2's investments.

Filing footnotes · ownership attribution and instrument terms

F1: SVF Fast (Cayman) Limited ("SVF Fast") is the record holder of 3,573,485 shares of Common Stock and SVF Swift (Cayman) Limited ("SVF Swift") is the record holder of 30,000,000 shares of Common Stock. SVF Swift is a wholly owned subsidiary of SVF Fast, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M2) L.P. ("AIV M2"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing AIV M2 in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of AIV M2, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of AIV M2's investments.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes21,516,384 Reported balance Holding disclosure · report date 2022-12-08 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 21,516,384

F1: Includes 12,885,948 shares of Common Stock held of record by SoftBank Vision Fund (AIV M2) L.P. and 8,630,436 shares of Common Stock held of record by SVF Fetch (Cayman) Limited.

F2: Softbank Vision Fund L.P. is the managing member of SVF Holdings (UK) LLP, which is the sole owner of SVF Sync Holdings (Cayman) Limited, which is the sole owner of SVF Fetch (Cayman) Limited. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") of each of Softbank Vision Fund L.P. and SoftBank Vision Fund (AIV M2) L.P. As AIFM, SBIA UK is authorized and regulated by the UK Financial Conduct Authority and is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of Softbank Vision Fund L.P.'s and SoftBank Vision Fund (AIV M2) L.P.'s investments. As a result of these relationships, the Reporting Persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interests therein.

Earnout SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2029-12-08IndirectSee footnotesNot disclosed Reported balance Holding disclosure · report date 2022-12-08 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F3: Pursuant to the Merger Agreement, dated as of May 11, 2022, by and among InterPrivate II Acquisition Corp., TMPST Merger Sub I Inc., TMPST Merger Sub II LLC, and Getaround, Inc., SVF Fetch (Cayman) Limited and SoftBank Vision Fund (AIV M2) L.P. will be entitled to receive 4,041,743 shares and 6,034,653 shares of Common Stock, respectively, in each case issuable as earnout shares based on the daily volume weighted average price of the Issuer's Common Stock achieving various price targets ($13.50, $17.00, $25.00, $30.00, $37.00, $46.00 and $55.00) for a period of at least 20 days out of 30 consecutive trading days, as may be adjusted.

F2: Softbank Vision Fund L.P. is the managing member of SVF Holdings (UK) LLP, which is the sole owner of SVF Sync Holdings (Cayman) Limited, which is the sole owner of SVF Fetch (Cayman) Limited. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") of each of Softbank Vision Fund L.P. and SoftBank Vision Fund (AIV M2) L.P. As AIFM, SBIA UK is authorized and regulated by the UK Financial Conduct Authority and is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of Softbank Vision Fund L.P.'s and SoftBank Vision Fund (AIV M2) L.P.'s investments. As a result of these relationships, the Reporting Persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 12,885,948 shares of Common Stock held of record by SoftBank Vision Fund (AIV M2) L.P. and 8,630,436 shares of Common Stock held of record by SVF Fetch (Cayman) Limited.

F2: Softbank Vision Fund L.P. is the managing member of SVF Holdings (UK) LLP, which is the sole owner of SVF Sync Holdings (Cayman) Limited, which is the sole owner of SVF Fetch (Cayman) Limited. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") of each of Softbank Vision Fund L.P. and SoftBank Vision Fund (AIV M2) L.P. As AIFM, SBIA UK is authorized and regulated by the UK Financial Conduct Authority and is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of Softbank Vision Fund L.P.'s and SoftBank Vision Fund (AIV M2) L.P.'s investments. As a result of these relationships, the Reporting Persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interests therein.

F3: Pursuant to the Merger Agreement, dated as of May 11, 2022, by and among InterPrivate II Acquisition Corp., TMPST Merger Sub I Inc., TMPST Merger Sub II LLC, and Getaround, Inc., SVF Fetch (Cayman) Limited and SoftBank Vision Fund (AIV M2) L.P. will be entitled to receive 4,041,743 shares and 6,034,653 shares of Common Stock, respectively, in each case issuable as earnout shares based on the daily volume weighted average price of the Issuer's Common Stock achieving various price targets ($13.50, $17.00, $25.00, $30.00, $37.00, $46.00 and $55.00) for a period of at least 20 days out of 30 consecutive trading days, as may be adjusted.

Opendoor Technologies Inc.

Report date September 16, 2021 · Filed September 20, 2021

Jointly reported with SVF Excalibur (Cayman) Ltd, SVF Endurance (Cayman) Ltd, SOFTBANK VISION FUND (AIV M1) L.P.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes41,420,282 Reported balance After 2021-09-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-09-16 · Sale · Disposed 32,200,000 · Balance 41,420,282

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnotes66,194,110 Reported balance Holding disclosure · report date 2021-03-08 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 66,194,110

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

WeWork Inc.

Report date October 20, 2021 · Filed November 01, 2021

Jointly reported with SVF Endurance (Cayman) Ltd, SOFTBANK VISION FUND (AIV M1) L.P.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnote81,077,918 Reported balance Holding disclosure · report date 2021-10-20 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 81,077,918

F1: Securities held of record by SVF Endurance (Cayman) Limited ("SVFE"). SVFE is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of SVF's investments.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2031-10-20IndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2021-10-20 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F1: Securities held of record by SVF Endurance (Cayman) Limited ("SVFE"). SVFE is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of SVF's investments.

Filing footnotes · ownership attribution and instrument terms

F1: Securities held of record by SVF Endurance (Cayman) Limited ("SVFE"). SVFE is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of SVF's investments.

Past disclosures · reporting ended (8)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Compass, Inc.

Report date March 24, 2025 · Filed March 26, 2025

Jointly reported with SVF Excalibur (Cayman) Ltd, SVF Endurance (Cayman) Ltd, SOFTBANK VISION FUND (AIV M1) L.P.

Section 16 reporting ended · disclosed 2025-03-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnotes48,070,273 Reported balance After 2025-03-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-03-24 · Sale · Disposed 10,000,000 · Balance 48,070,273

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Energy Vault Holdings, Inc.

Report date January 15, 2026 · Filed January 20, 2026

Jointly reported with SOFTBANK VISION FUND (AIV M2) L.P.

Section 16 reporting ended · disclosed 2026-01-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote15,535,631 Reported balance After 2026-01-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2026-01-15 · Sale · Disposed 3,000,000 · Balance 15,535,631

F1: Securities held of record by SoftBank Vision Fund (AIV M2) L.P. ("AIV M2"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing AIV M2 in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of AIV M2, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of AIV M2's investments

Filing footnotes · ownership attribution and instrument terms

F1: Securities held of record by SoftBank Vision Fund (AIV M2) L.P. ("AIV M2"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing AIV M2 in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of AIV M2, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of AIV M2's investments

Section 16 reporting ended · disclosed 2020-10-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes7,037,960 Reported balance After 2020-10-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-10-09 · Sale · Disposed 7,000,000 · Balance 7,037,960

F1: These securities are held of record by SVF Bluebird (Cayman) Limited, which is a subsidiary of SVF Enterprise (Cayman) Limited. SVF Enterprise (Cayman) Limited is a subsidiary of SVF Endurance (Cayman) Limited. SVF Endurance (Cayman) Limited is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager, or AIFM, of SoftBank Vision Fund (AIV M1) L.P., and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. (continued to Fn. 2)

F2: (Continued from Fn.1) As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s Investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held of record by SVF Bluebird (Cayman) Limited, which is a subsidiary of SVF Enterprise (Cayman) Limited. SVF Enterprise (Cayman) Limited is a subsidiary of SVF Endurance (Cayman) Limited. SVF Endurance (Cayman) Limited is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager, or AIFM, of SoftBank Vision Fund (AIV M1) L.P., and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. (continued to Fn. 2)

F2: (Continued from Fn.1) As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s Investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Relay Therapeutics, Inc.

Report date August 25, 2026 · Filed August 28, 2026

Jointly reported with SVF Pauling (Cayman) Ltd, SOFTBANK VISION FUND (AIV M2) L.P.

Section 16 reporting ended · disclosed 2026-08-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote21,904,963 Reported balance After 2026-08-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2026-08-25 · Sale · Disposed 6,000,000 · Balance 21,904,963

F1: Securities held of record by SVF Pauling (Cayman) Limited, a wholly owned subsidiary of SoftBank Vision Fund (AIV M2) L.P. ("AIV M2"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing AIV M2 in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of AIV M2, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of SVF Pauling (Cayman) Limited's investments.

Filing footnotes · ownership attribution and instrument terms

F1: Securities held of record by SVF Pauling (Cayman) Limited, a wholly owned subsidiary of SoftBank Vision Fund (AIV M2) L.P. ("AIV M2"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing AIV M2 in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of AIV M2, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of SVF Pauling (Cayman) Limited's investments.

Roivant Sciences Ltd.

Report date September 28, 2023 · Filed October 03, 2023

Jointly reported with SVF Investments (UK) Ltd, SVF Holdings (UK) LLP, SoftBank Vision Fund L.P.

Section 16 reporting ended · disclosed 2023-10-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeIndirectSee footnote73,031,667 Reported balance After 2023-09-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-09-28 · Sale · Disposed 10,000,000 · Balance 73,031,667

F1: Securities held of record by SVF Investments (UK) Limited ("SVF Investments"). Softbank Vision Fund L.P. is the managing member of SVF Holdings (UK) LLP, which is the sole owner of SVF Investments. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as the alternative investment fund manager ("AIFM") of SoftBank Vision Fund L.P. SBIA UK is authorized and regulated by the UK Financial Conduct Authority and is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund L.P.'s investments.

Filing footnotes · ownership attribution and instrument terms

F1: Securities held of record by SVF Investments (UK) Limited ("SVF Investments"). Softbank Vision Fund L.P. is the managing member of SVF Holdings (UK) LLP, which is the sole owner of SVF Investments. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as the alternative investment fund manager ("AIFM") of SoftBank Vision Fund L.P. SBIA UK is authorized and regulated by the UK Financial Conduct Authority and is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund L.P.'s investments.

Uber Technologies, Inc

Report date January 07, 2021 · Filed January 11, 2021

Jointly reported with SB Cayman 2 Ltd., SoftBank Vision Fund (AIV S1) L.P.

Section 16 reporting ended · disclosed 2021-01-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes184,228,178 Reported balance After 2021-01-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-01-07 · Sale · Disposed 38,000,000 · Balance 184,228,178

F1: SB Cayman 2 Limited is wholly owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Limited has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F2: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes

Filing footnotes · ownership attribution and instrument terms

F1: SB Cayman 2 Limited is wholly owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Limited has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F2: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes

Vir Biotechnology, Inc.

Report date December 01, 2025 · Filed December 03, 2025

Jointly reported with SVF Endurance (Cayman) Ltd, SOFTBANK VISION FUND (AIV M1) L.P.

Section 16 reporting ended · disclosed 2025-12-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote13,728,924 Reported balance After 2025-12-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-12-01 · Sale · Disposed 191,854 · Balance 13,728,924

F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on September 3, 2025.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.2794 to $5.855. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3: SVF Endurance (Cayman) Limited is the record holder of the shares of Common Stock reported herein. SVF Endurance (Cayman) Limited is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of SVF's investments.

Filing footnotes · ownership attribution and instrument terms

F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person on September 3, 2025.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.2794 to $5.855. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3: SVF Endurance (Cayman) Limited is the record holder of the shares of Common Stock reported herein. SVF Endurance (Cayman) Limited is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of SVF's investments.

Zymergen Inc.

Report date October 19, 2022 · Filed October 21, 2022

Jointly reported with SVF Excalibur (Cayman) Ltd, SVF Endurance (Cayman) Ltd, SOFTBANK VISION FUND (AIV M1) L.P.

Section 16 reporting ended · disclosed 2022-10-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2022-10-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2022-10-19 · Other · Disposed 26,614,219 · Balance 0

F1: Pursuant to the Merger Agreement, dated July 24, 2022 (the "Merger Agreement"), by and among the Issuer, Ginkgo Bioworks Holdings, Inc. ("Ginkgo") and Pepper Merger Subsidiary Inc., the Issuer became an indirect wholly owned subsidiary of Ginkgo upon consummation of the merger on October 19, 2022 (the "Effective Time"), as provided for in the Merger Agreement. At the Effective Time, each share of the Issuer's common stock was automatically cancelled, extinguished and converted into the right to receive 0.9179 shares of Class A common stock of Ginkgo, with fractional shares paid in cash, without interest.

F2: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein, but disclaims beneficial ownership except to the extent of the pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Merger Agreement, dated July 24, 2022 (the "Merger Agreement"), by and among the Issuer, Ginkgo Bioworks Holdings, Inc. ("Ginkgo") and Pepper Merger Subsidiary Inc., the Issuer became an indirect wholly owned subsidiary of Ginkgo upon consummation of the merger on October 19, 2022 (the "Effective Time"), as provided for in the Merger Agreement. At the Effective Time, each share of the Issuer's common stock was automatically cancelled, extinguished and converted into the right to receive 0.9179 shares of Class A common stock of Ginkgo, with fractional shares paid in cash, without interest.

F2: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein, but disclaims beneficial ownership except to the extent of the pecuniary interest therein.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 16, 2019 Filed Mar 18, 2020 18:17 UTC 10x Genomics, Inc. TXG · Entity 2172 ConversionSeries D Convertible Preferred Stock · Derivative 1,044,932 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-008928 · doc4.xml · derivative · entry 4

SOFTBANK VISION FUND (AIV M2) L.P. · CIK 0001805808 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 1,044,932 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.

F2 · derivative.exercise_price: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F2 · derivative.exercise_date: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F2 · derivative.expiration_date: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F1 · derivative.underlying: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F3 · ownership.nature: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Read SEC document
September 16, 2019 Filed Mar 18, 2020 18:17 UTC 10x Genomics, Inc. TXG · Entity 2172 ConversionSeries C Convertible Preferred Stock · Derivative 2,791,300 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-008928 · doc4.xml · derivative · entry 3

SOFTBANK VISION FUND (AIV M2) L.P. · CIK 0001805808 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 2,791,300 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.

F2 · derivative.exercise_price: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F2 · derivative.exercise_date: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F2 · derivative.expiration_date: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F1 · derivative.underlying: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F3 · ownership.nature: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Read SEC document
September 16, 2019 Filed Mar 18, 2020 18:17 UTC 10x Genomics, Inc. TXG · Entity 2172 ConversionClass B Common Stock · Derivative 3,836,232 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-008928 · doc4.xml · derivative · entry 2

SOFTBANK VISION FUND (AIV M2) L.P. · CIK 0001805808 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,836,232

Underlying: Class A Common Stock · 3,836,232 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: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F1 · derivative.exercise_date: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F1 · derivative.expiration_date: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F3 · ownership.nature: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Read SEC document
September 11, 2019 Filed Sep 13, 2019 21:47 UTC Guardant Health, Inc. GH · Entity 3238 SaleCommon Stock 4,900,000 $77.00 $377,300,000.00
Disclosure

SEC source: 0001213900-19-018057 · ownership.xml · nonDerivative · entry 1

SVF Bluebird (Cayman) Ltd · CIK 0001782391 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SVF Enterprise (Cayman) Ltd · CIK 0001782460 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,950,460

F1 · ownership.direct: SVF Bluebird (Cayman) Limited is a wholly-owned subsidiary of SVF Enterprise (Cayman) Limited. SVF Enterprise (Cayman) Limited is a wholly-owned subsidiary of SVF Endurance (Cayman) Limited. SVF Endurance (Cayman) Limited is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager, or AIFM, of SoftBank Vision Fund (AIV M1) L.P., and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.(continued to Fn. 2)

F2 · ownership.direct: (Continued from Fn. 1) As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s Investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries Seed Preferred Stock · Derivative 33,177,628 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 18

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,177,628 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries G-1 Preferred Stock · Derivative 21,448,296 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 17

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,448,296 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries E Preferred Stock · Derivative 3,973,883 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 16

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,973,883 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries D Preferred Stock · Derivative 8,263,120 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 15

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,263,120 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries C-3 Preferred Stock · Derivative 86,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 14

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,446 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries C-2 Preferred Stock · Derivative 7,444,846 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 13

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,444,846 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries C-1 Preferred Stock · Derivative 9,191,048 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 12

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,191,048 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries B Preferred Stock · Derivative 34,758,029 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 11

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,758,029 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionSeries A Preferred Stock · Derivative 12,960,050 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · derivative · entry 10

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,960,050 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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.exercise_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F1 · derivative.expiration_date: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 33,177,628 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 9

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,228,178

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 21,448,296 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 8

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,050,550

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 3,973,883 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 7

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,602,254

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 8,263,120 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 6

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,628,371

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 86,446 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 5

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,365,251

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 7,444,846 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 4

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,278,805

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 9,191,048 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 3

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,833,959

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 34,758,029 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 2

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,642,911

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 14, 2019 Filed May 16, 2019 20:06 UTC Uber Technologies, Inc UBER · Entity 2867 ConversionCommon Stock 12,960,050 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-013739 · doc4.xml · nonDerivative · entry 1

SB Cayman 2 Ltd. · CIK 0001776239 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SoftBank Vision Fund (AIV S1) L.P. · CIK 0001776222 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,884,882

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: All Series of Preferred Stock automatically converted into shares of the Company's Common Stock on a 1-for-1 basis, without payment or further consideration, immediately prior to the consummation of the Company's initial public offering.

F2 · ownership.direct: SB Cayman 2 Ltd. is wholly-owned by SoftBank Vision Fund (AIV S1) LP, a Delaware limited partnership ("Vision Fund"). SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing the Vision Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Vision Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting, and disposal of the Vision Fund's Investments. SB Cayman 2 Ltd. has granted a proxy to a third party with respect to all voting interests in the Company in excess of 9.9% of its outstanding stock.

F3 · ownership.direct: (Continued from footnote 2) This proxy will automatically terminate following approval of the Committee on Foreign Investment in the United States. Each such entity disclaims beneficial ownership of such shares except to the extent of such entity's pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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March 12, 2019 Filed Mar 14, 2019 19:19 UTC Guardant Health, Inc. GH · Entity 3238 PurchaseCommon Stock 2,033,990 $9.83 $19,999,816.87
Disclosure

SEC source: 0001615774-19-004054 · ownership.xml · nonDerivative · entry 2

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,850,420

F2 · shares: This filing on Form 4 is being filed as a result of the transfer of 2,033,990 shares of Common Stock of the Issuer from SoftBank Group Capital Limited ("SBGC") to SoftBank Vision Fund (AIV M1) L.P., on or about March 12, 2019 in a private sale transaction. The transferred shares will remain subject to a lock-up agreement substantially the same as that certain Lock-Up Agreement dated June 28, 2018, by and among SBGC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and the Issuer.

F1 · ownership.direct: The shares are directly held by SoftBank Vision Fund (AIV M1) L.P., or the Fund. SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager, or AIFM, and is exclusively responsible for managing the Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of the Fund's Investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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March 12, 2019 Filed Mar 15, 2019 17:27 UTC Amendment Guardant Health, Inc. GH · Entity 3238 PurchaseCommon Stock 2,033,990 $9.83 $20,000,020.27
Disclosure

SEC source: 0001615774-19-004094 · ownership.xml · nonDerivative · entry 2

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,850,460

F2 · shares: This filing on Form 4 is being filed as a result of the transfer of 2,033,990 shares of Common Stock of the Issuer from SoftBank Group Capital Limited ("SBGC") to SoftBank Vision Fund (AIV M1) L.P., on or about March 12, 2019 in a private sale transaction. The transferred shares will remain subject to a lock-up agreement substantially the same as that certain Lock-Up Agreement dated June 28, 2018, by and among SBGC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and the Issuer.

F3 · balance_after: Due to a clerical error, the reporting person is filing this Amendment to Form 4 to correct the amount of non-derivative securities beneficially owned following the reported transaction from 27,850,420 (as reported on the original Form 4 filing) to 27,850,460.

F1 · ownership.direct: The shares are directly held by SoftBank Vision Fund (AIV M1) L.P., or the Fund. SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager, or AIFM, and is exclusively responsible for managing the Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of the Fund's Investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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October 09, 2018 Filed Oct 11, 2018 23:21 UTC Guardant Health, Inc. GH · Entity 3238 ConversionSERIES E PREFERRED STOCK · Derivative 25,816,470 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-18-012506 · wf-form4_153930005844779.xml · derivative · entry 2

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 25,816,470 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: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date.

F1 · price: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date.

F1 · derivative.exercise_date: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date.

F1 · derivative.expiration_date: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date.

F2 · ownership.direct: The shares are directly held by SoftBank Vision Fund (AIV M1) L.P., or the Fund, SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager, or AIFM, and is exclusively responsible for managing the Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of the Fund's Investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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October 09, 2018 Filed Oct 11, 2018 23:21 UTC Guardant Health, Inc. GH · Entity 3238 ConversionCOMMON STOCK 25,816,470 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-18-012506 · wf-form4_153930005844779.xml · nonDerivative · entry 1

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,816,470

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: The shares of Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at the then-effective conversion rate for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Certificate of Incorporation) immediately prior to the consummation of the Issuer's initial public offering, and have no expiration date.

F2 · ownership.direct: The shares are directly held by SoftBank Vision Fund (AIV M1) L.P., or the Fund, SB Investment Advisers (UK) Limited, a wholly-owned subsidiary of SoftBank Group Corp., has been appointed as alternative investment fund manager, or AIFM, and is exclusively responsible for managing the Fund in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of the Fund, SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing, voting and disposal of the Fund's Investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.