SEC Form 4 · accession 0001179110-17-013035
CUBIC CORP /DE/ · CUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew James Cole
Officer — President, CTS - SVP, CORP
Period of report
Oct 1, 2017
Accepted (ET)
Oct 3, 2017 · 6:42 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, 2017 | M | 3,099 | — | A | 7,112 | D | |
| Common StockF2 | Oct 1, 2017 | F | 1,167 | $51.00 | D | 5,945 | D |
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,F3 | — | Oct 1, 2017 | M | 251 | D | — | — | Common Stock | 251 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Oct 1, 2017 | M | 260 | D | — | — | Common Stock | 260 | 260 | D |
| Restricted Stock UnitsF1,F5 | — | Oct 1, 2017 | M | 1,230 | D | — | — | Common Stock | 1,230 | 2,459 | D |
| Restricted Stock UnitsF1,F6 | — | Oct 1, 2017 | M | 1,358 | D | — | — | Common Stock | 1,358 | 4,071 | 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.
- F3This is the fourth and final of 4 vesting installments of RSUs granted to the Reporting Person on December 12, 2013.
- F4This is the third of 4 vesting installments of RSUs granted to the Reporting Person on November 6, 2014. The remaining 260 shares from such grant shall vest on October 1, 2018, subject to the Reporting Person's continuous service through each application vesting date.
- F5This is the second of 4 vesting installments of RSUs granted to the Reporting Person on November 6, 2015. The remaining 2459 shares from such grant shall vest in 2 equal installments on October 1, 2018 and 2019, subject to the Reporting Person's continuous service through such application vesting date.
- F6This is the first of 4 vesting installments of RSU's granted to the Reporting Person on November 14, 2016. The remaining 4071 shares from such grant shall vest in 3 equal installments on October 1, 2018, 2019 and 2020, subject to the Reporting Person's continuous service through each application vesting date.