SEC Form 4 · accession 0001179110-18-011994
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, 2018
Accepted (ET)
Oct 3, 2018 · 3:53 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, 2018 | M | 4,070 | — | A | 10,015 | D | |
| Common StockF2 | Oct 1, 2018 | F | 1,982 | $72.29 | D | 8,033 | 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, 2018 | M | 260 | D | — | — | Common Stock | 260 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Oct 1, 2018 | M | 1,230 | D | — | — | Common Stock | 1,230 | 1,229 | D |
| Restricted Stock UnitsF1,F5 | — | Oct 1, 2018 | M | 1,358 | D | — | — | Common Stock | 1,358 | 2,713 | D |
| Restricted Stock UnitsF1,F6 | — | Oct 1, 2018 | M | 1,222 | D | — | — | Common Stock | 1,222 | 3,664 | D |
Explanation of responses
- F1Reflects the issuance of CUB common stock upon vesting of restricted stock units ("RSUs"). Each RSU grated 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 RSU's granted to the Reporting Person on November 6, 2014.
- F4This is the third of 4 vesting installments of RSUs granted to the Reporting Person on November 6, 2015. The remaining 1229 shares from such grant shall vest in 1 final installment on October 1, 2019, subject to the Reporting Person's continuous service through such application vesting date.
- F5This is the second of 4 vesting installments of RSUs granted to the Reporting Person on November 14, 2016. The remaining 2713 shares from such grant shall vest in 2 equal installments on October 1, 2019 and 2020, subject to the Reporting Person's continuous service through each application vesting date.
- F6This is the first of 4 vesting installments of RSUs granted to the Reporting Person on November 27, 2017. The remaining 3664 shares from such grant shall vest in 3 equal installments on October 1, 2019, 2020 and 2021, subject to the Reporting Person's continuous service through each application vesting date.