SEC Form 4 · accession 0001179110-15-013859
CUBIC CORP /DE/ · CUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John D Thomas
Officer — EVP/CFO
Period of report
Oct 1, 2015
Accepted (ET)
Oct 5, 2015 · 7:41 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 | 10,272 | — | A | 10,272 | D | |
| Common StockF2 | Oct 1, 2015 | F | 3,861 | $40.86 | D | 6,411 | D | |
| Common StockF3 | holding | — | — | — | 970 | I | The John David Thomas 1998 Trust | |
| Common StockF4 | holding | — | — | — | 7,214 | I | The Thomas Family 2009 Trust | |
| Common StockF8 | holding | — | — | — | 1,152 | I | Cubic Corporation 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | Oct 1, 2015 | M | 1,950 | D | — | — | Common Stock | 1,950 | 5,847 | D |
| Restricted Stock UnitsF1,F6 | — | Oct 1, 2015 | M | 1,984 | D | — | — | Common Stock | 1,984 | 3,787 | D |
| Restricted Stock UnitsF1,F7 | — | Oct 1, 2015 | M | 6,428 | D | — | — | Common Stock | 6,428 | 6,425 | 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.
- F2Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs.
- F3Represents shares held by the John David Thomas 1998 Trust, of which the Reporting Person is the trustee with full voting and disposition rights.
- F4Represents shares held by the Thomas Family 2009 Trust, of which the Reporting Person and his spouse are co-trustees with full voting and disposition rights.
- F5This is the first of 4 vesting installments of RSUs granted to the Reporting Person on November 6, 2014. The remaining 5847 shares from such grant shall vest in 3 equal installments on October 1, 2016, 2017 and 2018, subject to the Reporting Person's continuous service through each application vesting date.
- F6This is the second of 4 vesting installments of RSUs granted to the Reporting Person on December 12, 2013. The remaining 3787 shares from such grant shall vest in 2 equal installments on October 1, 2016 and 2017, subject to the Reporting Person's continuous service through each application vesting date.
- F7This is the third of 4 vesting installments of RSUs granted to the Reporting Person on March 21, 2013. The remaining 6425 shares from such grant shall vest on October 1, 2016, subject to the Reporting Person's continuous service through such application vesting date.
- F8Represents shares held by the Reporting Person's 401(k)