SEC Form 4 · accession 0001179110-18-012005
CUBIC CORP /DE/ · CUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven John Norris
Director
Period of report
Oct 1, 2018
Accepted (ET)
Oct 3, 2018 · 4:13 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 | 1,425 | — | A | 5,085 | D | |
| Common StockF2 | Oct 1, 2018 | F | 281 | $72.29 | D | 4,804 | 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 | 814 | D | — | — | Common Stock | 814 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Oct 1, 2018 | M | 611 | D | — | — | Common Stock | 611 | 611 | 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 second and final of 2 vesting installments of RSUs granted to the Reporting Person on November 14, 2016.
- F4This is the first of 2 vesting installments of RSUs granted to the Reporting Person on November 27, 2017. The remaining 611 shares from such grant shall vest on October 1, 2019, subject to the Reporting Person's continuous service through each application vesting date.