SEC Form 4 · accession 0001179110-16-032028
CUBIC CORP /DE/ · CUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Edwards
Officer — SVP, Gen. Counsel & Secretary
Period of report
Nov 22, 2016
Accepted (ET)
Nov 23, 2016 · 4:02 pm EST
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 | Nov 22, 2016 | M | 325 | — | A | 3,222 | D | |
| Common StockF2 | Nov 22, 2016 | F | 123 | $46.85 | D | 3,099 | D | |
| Common StockF4 | holding | — | — | — | 5,367 | I | Edwards Family Trust DTD 8/19/96 | |
| Common StockF5 | holding | — | — | — | 345 | I | Cubic 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 UnitF1,F3 | — | Nov 22, 2016 | M | 325 | D | — | — | Common Stock | 325 | 0 | D |
Explanation of responses
- F1Reflects the issuance of CUB common stock upon vesting of performance-based restricted stock units ("RSUs").
- F2Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs.
- F3This is the vesting of performance-based RSUs granted to the Reporting Person on December 12, 2013.
- F4The James R. Edwards and Joan M. Edwards Family Trust UA Aug.19, 1996, for which the Reporting Person is a co-trustee with his spouse.
- F5Represents shares held by the Reporting Person's 401(k).