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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 10/01/2015 | M | 1,820 | (4) | (4) | Common Stock | 1,820 | (1) | 5,457 | D | ||||
Restricted Stock Units | (1) | 10/01/2015 | M | 1,768 | (5) | (5) | Common Stock | 1,768 | (1) | 3,536 | D | ||||
Restricted Stock Units | (1) | 10/01/2015 | M | 6,428 | (6) | (6) | Common Stock | 6,428 | (1) | 6,425 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shewmaker Stephen O 9333 BALBOA AVENUE SAN DIEGO, CA 92123 |
President, CTS and EVP |
Angelal L. Hartley, attorney-in-fact for Stephen O Shewmaker | 10/05/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(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) | Represents shares held in Reporting Person's IRA. |
(3) | Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs. |
(4) | This is the first of 4 vesting installments of RSUs granted to the Reporting Person on November 6, 2014. The remaining 5457 shares from such grant shall vest in 3 equal installments on October 1, 2016, 2017 and 2018, subject to the Reporting Person's continuous service through each application vesting date. |
(5) | This is the second of 4 vesting installments of RSUs granted to the Reporting Person on December 12, 2013. The remaining 3534 shares from such grant shall vest in 2 equal installments on October 1, 2016 and 2017, subject to the Reporting Person's continuous service through each application vesting date. |
(6) | This is the third of 4 vesting installments of RSUs granted to the Reporting Person on March 21, 2013. The remaining 6425 shares from such grant shall vest on October 1, 2016, subject to the Reporting Person's continuous service through such application vesting date. |