SEC Form 4 · accession 0001179110-16-030377
CUBIC CORP /DE/ · CUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce G Blakley
Director
Period of report
Oct 1, 2016
Accepted (ET)
Oct 4, 2016 · 6:55 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 | Mar 31, 2016 | J | 5,726 | — | D | 0 | D | |
| Common StockF1,F2 | Mar 31, 2016 | J | 5,726 | — | A | 5,726 | I | Blakley Living Trust DTD 2/9/16 |
| Common StockF3 | Oct 1, 2016 | M | 1,600 | — | A | 1,600 | D | |
| Common StockF4 | holding | — | — | — | 200 | I | Blakley IRA |
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,F5 | — | Oct 1, 2016 | M | 780 | D | — | — | Common Stock | 780 | 0 | D |
| Restricted Stock UnitsF2,F6 | — | Oct 1, 2016 | M | 820 | D | — | — | Common Stock | 820 | 820 | D |
Explanation of responses
- F1Represents a transfer of shares without consideration from the Reporting Person to the Blakley Living Trust DTD 2/9/16
- F2The Blakley Living Trust UA Feb. 9, 2016, for which the Reporting Person is a co-trustee with his spouse.
- F3Reflects 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.
- F4Represents shares held in the Rollover IRA FBO Bruce G. Blakley, of which the Reporting Person is the sole owner with full voting and disposition rights.
- F5This is the second and final of 2 vesting installments of RSUs granted to the Reporting Person on November 6, 2014.
- F6This is the first of 2 vesting installments of RSU's granted to the Reporting Person on November 6, 2015. The remaining 820 shares from such grant shall vest on October 1, 2017, subject to the Reporting Person's continuous service through each application vesting date.