SEC Form 4 · accession 0001179110-16-032031
CUBIC CORP /DE/ · CUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley H Feldmann
Officer — President/CEO · Director
Period of report
Nov 22, 2016
Accepted (ET)
Nov 23, 2016 · 4:03 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 | 973 | — | A | 24,249 | D | |
| Common StockF2 | Nov 22, 2016 | F | 502 | $46.85 | D | 23,747 | D | |
| Common StockF4 | holding | — | — | — | 3,050 | I | Feldmann IRA | |
| Common StockF5 | holding | — | — | — | 1,244 | I | Cubic 401(k) | |
| Common StockF6 | holding | — | — | — | 33 | I | The Feldmann Family Trust DTD 04-20-12 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F1 | — | Nov 22, 2016 | M | 973 | D | — | — | Common Stock | 973 | 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.
- F4Represents shares held by the PTC Cust Rollover FBO Bradley Feldmann, of which the Reporting Person is the sole owner with full voting and disposition rights.
- F5Represents shares held by the Reporting Person's 401(k).
- F6The Feldmann Family Trust DTD 04-20-2012, of which the Reporting Person and his spouse are co-trustees with full voting and disposition rights.