Statement of Changes in Beneficial Ownership (4)
March 30 2020 - 2:57PM
Edgar (US Regulatory)
FORM 4
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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
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Blakley Bruce G |
2. Issuer Name and Ticker or Trading Symbol
CUBIC CORP /DE/
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CUB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
9333 BALBOA AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/26/2020 |
(Street)
SAN DIEGO, CA 92123
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 | 3/26/2020 | | S | | 4282 | D | $39.4505 (1) | 8930 (2) | I | Blakley Living Trust DTD 2/9/16 (3) |
Common Stock | | | | | | | | 1.23 | I | Blakley IRA (4) |
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 |
Explanation of Responses: |
(1) | Reflects the weighted average price of 4,282 shares of common stock of Issuer sold by the reporting person in multiple transactions on March 26, 2020 with sale prices ranging from $39.39 to $39.725 per share. Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, Issuer, or a security holder of Issuer, full information regarding the number of shares sold at each separate price. |
(2) | Reporting Person's Form 4 filed with the U.S. Securities and Exchange Commission on October 10, 2019 inadvertently listed the incorrect number of shares indirectly held by The Blakley Living Trust UA Feb. 9, 2016. This total correctly reflects the total shares indirectly held by The Blakley Living Trust UA Feb. 9, 2016. Reporting Person does not directly hold any shares. |
(3) | The Blakley Living Trust UA Feb. 9, 2016, for which Reporting Person is Co-Trustee with spouse. |
(4) | Represents shares held in the Rollover IRA FBO Bruce G. Blakley, of which Reporting Person is the sole owner with full voting and disposition rights. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Blakley Bruce G 9333 BALBOA AVENUE SAN DIEGO, CA 92123 | X |
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Signatures
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Hilary L. Hageman, Attorney-in-fact for Bruce G. Blakley | | 3/30/2020 |
**Signature of Reporting Person | Date |
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