SEC Form 4 · accession 0001179110-15-013834
CUBIC CORP /DE/ · CUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven John Norris
Director
Period of report
Oct 1, 2015
Accepted (ET)
Oct 5, 2015 · 7:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000026076
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 1, 2015 | M | 1,596 | — | A | 1,853 | D | |
| Common StockF4 | Oct 1, 2015 | F | 591 | $40.86 | D | 1,262 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F1 | — | Oct 1, 2015 | M | 780 | D | — | — | Common Stock | 780 | 780 | D |
| Restricted Stock UnitsF1,F3 | — | Oct 1, 2015 | M | 816 | D | — | — | Common Stock | 816 | 0 | D |
Explanation of responses
- F1Reflects the issuance of CUB common stock upon vesting of restricted stock units ("RSUs"). Each RSU granted at that time represented a contingent right to receive one share of CUB stock.
- F2This is the first of 2 vesting installments of RSUs granted to the Reporting Person on November 6, 2014. The remaining 780 shares from such grant shall vest on October 1, 2016, subject to the Reporting Person's continuous service through the application vesting date.
- F3This is the second of 2 vesting installments of RSUs granted to the Reporting Person on December 12, 2013. RSUs for this grant fully released.
- F4Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs.