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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) | 10/01/2018 | M | 3,896 | (7) | (7) | Common Stock | 3,896 | (1) | 0 | D | ||||
Restricted Stock Units | (1) | 10/01/2018 | M | 4,782 | (8) | (8) | Common Stock | 4,782 | (1) | 4,780 | D | ||||
Restricted Stock Units | (1) | 10/01/2018 | M | 5,972 | (9) | (9) | Common Stock | 5,972 | (1) | 11,944 | D | ||||
Restricted Stock Units | (1) | 10/01/2018 | M | 5,599 | (10) | (10) | Common Stock | 5,599 | (1) | 16,796 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FELDMANN BRADLEY H 9333 BALBOA AVENUE SAN DIEGO, CA 92123 |
X | Chairman/President/CEO |
Claudia M. Strup, Attorney-in-fact for Bradley H. Feldmann | 10/03/2018 | |
**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 grated 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 the PTC Cust Rollover FBO Bradley Feldmann, of which the Reporting Person is the sole owner with full voting and disposition rights. |
(4) | Represents shares held by the Reporting Person's 401(k). |
(5) | The Feldmann Family Trust DTD 04-20-2012, of which the 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 of 4 vesting installments of RSU's granted to the Reporting Person on November 6, 2014. |
(8) | This is the third of 4 vesting installments of RSUs granted to the Reporting Person on November 6, 2015. The remaining 4780 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. |
(9) | This is the second of 4 vesting installments of RSUs granted to the Reporting Person on November 14, 2016. The remaining 11944 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. |
(10) | This is the first of 4 vesting installments of RSU's granted to the Reporting Person on November 27, 2017. The remaining 16796 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. |