Amended Statement of Changes in Beneficial Ownership (4/a)
December 12 2019 - 1:17PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
FELDMANN BRADLEY H |
2. Issuer Name and Ticker or Trading Symbol
CUBIC CORP /DE/
[
CUB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chairman/President/CEO |
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(Last)
(First)
(Middle)
9333 BALBOA AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2019 |
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(Street)
SAN DIEGO, CA 92123
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
10/3/2019 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 10/1/2019 | | M | | 24147 | A | (1) | 70880 | D | |
| Common Stock | 10/1/2019 | | F(2) | | 11919 | D | $67.55 | 58961 | D | |
| Common Stock | | | | | | | | 1533.8869 | I | Cubic 401(k) (3) |
| Common Stock | | | | | | | | 3050 | I | Feldmann IRA (4) |
| Common Stock | | | | | | | | 33 | I | The Feldmann Family Trust DTD 04-20-12 (5) |
| Common Stock | | | | | | | | 11 | I | Child (6) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Unit | (1) | 10/1/2019 | | M | | | 4780 | (7) | (7) | Common Stock | 4780 | (1) | 0 | D | |
| Restricted Stock Unit | (1) | 10/1/2019 | | M | | | 5972 | (8) | (8) | Common Stock | 5972 | (1) | 5972 | D | |
| Restricted Stock Unit | (1) | 10/1/2019 | | M | | | 5599 | (9) | (9) | Common Stock | 5599 | (1) | 11197 | D | |
| Restricted Stock Unit | (1) | 10/1/2019 | | M | | | 7796 | (10) | (10) | Common Stock | 7796 | (1) | 23386 | D | |
| Explanation of Responses: |
| (1) | Reflects 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. |
| (2) | Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs. |
| (3) | Represents Shares held by Reporting Person's 401(k). |
| (4) | Represents shares held by the PTC Cust Rollover FBO Bradley Feldmann, of which Reporting Person is the sole owner with full vesting and disposition right. |
| (5) | The Feldmann Family Trust DTD 04-20-2012, of which Reporting Person and his spouse are Co-Trustees with full voting and disposition rights. |
| (6) | Represents Shares held by Reporting Person's son, a dependent not living in household. Reporting Person disclaims beneficial ownership of these securities. |
| (7) | This is the fourth and final vesting installment of RSUs granted to Reporting Person on November 6, 2015. |
| (8) | This is the third of four vesting installments of RSUs granted to Reporting Person on November 14, 2016. The remaining 5,972 shares from such grant will vest October 1, 2020, subject toReporting Person's continuous service through each application vesting date. |
| (9) | This is the second of four vesting installments of RSUs granted to Reporting Person on November 27, 2017. The Remaining 11,197 shares from such grant shall vest in two equalinstallments on October 1, 2020 and 2021, subject to Reporting Person's continuous service through each application vesting date. |
| (10) | This is the first of four vesting installments of RSUs granted to Reporting Person on November 21, 2018. The remaining 23,387 shares from such grant shall vest in 3 equal installments onOctober 1, 2020, 2021, and 2022, subject to Reporting Person's continuous service through each application vesting date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
FELDMANN BRADLEY H
9333 BALBOA AVENUE
SAN DIEGO, CA 92123 | X |
| Chairman/President/CEO |
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Signatures
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| Heidi Runge, Attorney-in-fact for Bradley H. Feldmann | | 12/12/2019 |
| **Signature of Reporting Person | Date |
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