SEC Form 4 · accession 0001179110-16-032034
CUBIC CORP /DE/ · CUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Harrison
Officer — SVP/Controller
Period of report
Oct 10, 2016
Accepted (ET)
Nov 23, 2016 · 4:04 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 | Oct 10, 2016 | J | 2,806 | — | D | 0 | D | |
| Common StockF1,F5 | Oct 10, 2016 | J | 2,806 | — | A | 7,751 | I | The Harrison Living Trust 2008 |
| Common StockF2 | Nov 22, 2016 | M | 325 | — | A | 325 | D | |
| Common StockF3 | Nov 22, 2016 | F | 123 | $46.85 | D | 202 | D | |
| Common StockF6 | holding | — | — | — | 29 | 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 UnitsF2,F1,F4 | — | Nov 22, 2016 | M | 325 | D | — | — | Common Stock | 325 | 0 | D |
Explanation of responses
- F1Represents a transfer of shares without consideration from the Reporting Person to the Harrison Living Trust 2008.
- F2Reflects the issuance of CUB common stock upon vesting of performance-based restricted stock units ("RSUs")..
- F3Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs.
- F4This is the vesting of performance-based RSUs granted to the Reporting Person on December 12, 2013.
- F5Represents shares held in Harrison Living Trust 2008, a trust for which the Reporting Person and his spouse are co-trustees with full voting and dispositive rights.
- F6Represents shares held in the Reporting Person's 401(k).