SEC Form 4 · accession 0001179110-17-013036

· CUB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

John D Thomas

Officer — EVP/CFO

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 Stock^F1	Oct 1, 2017	M	7,929	—	A	16,123	D
Common Stock^F2	Oct 1, 2017	F	2,982	$51.00	D	13,141	D
Common Stock^F3	holding	—	—		—	2,173	I	Cubic 401(K)
Common Stock^F4	holding	—	—		—	100	I	John David Thomas IRA
Common Stock^F5	holding	—	—		—	1,970	I	The John David Thomas 1998 Trust
Common Stock^F6	holding	—	—		—	14,625	I	The Thomas Family 2009 Trust

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F7	—	Oct 1, 2017	M	1,893	D	—	—	Common Stock	1,893	0	D
Restricted Stock Units^F1,F8	—	Oct 1, 2017	M	1,950	D	—	—	Common Stock	1,950	1,947	D
Restricted Stock Units^F1,F9	—	Oct 1, 2017	M	2,050	D	—	—	Common Stock	2,050	4,097	D
Restricted Stock Units^F1,F10	—	Oct 1, 2017	M	2,036	D	—	—	Common Stock	2,036	6,108	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.
F10This is the first of 4 vesting installments of RSU's granted to the Reporting Person on November 14, 2016. The remaining 6108 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.
F2Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs.
F3Represents shares held by the Reporting Person's 401(k).
F4Represents shares held by the John David Thomas IRA, of which the Reporting Person is the Trustee with full voting and disposition rights.
F5Represents shares held by the John David Thomas 1998Trust, of which the Reporting Person is the Trustee with full voting and disposition rights.
F6Represents the shares held by the Thomas Family 2009 Trust, of which the Reporting Person and his spouse are co-trustees with full voting and disposition rights.
F7This is the fourth and final of 4 vesting installments of RSUs granted to the Reporting Person on December 12, 2013.
F8This is the third of 4 vesting installments of RSUs granted to the Reporting Person on November 6, 2014. The remaining 1,947 shares from such grant shall vest on October 1, 2018, subject to the Reporting Person's continuous service through each application vesting date.
F9This is the second of 4 vesting installments of RSUs granted to the Reporting Person on November 6, 2015. The remaining 4097 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.