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person · Reporting owner

KNOWLES MICHAEL

Disclosed activity across 2 companies

Tapewire entity
2769
SEC CIK
0001755059

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ONE STOP SYSTEMS, INC.OSS · Entity 2767Director · Chief Executive OfficerAugust 07, 2026September 04, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ONE STOP SYSTEMS, INC.

Report date August 07, 2026 · Filed September 04, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect598,762 Reported balance After 2026-08-07 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-08-07 · Tax withholding · Disposed 8,621 · Balance 598,762

F1: The Reporting Person forfeited 8,621 shares of common stock upon conversion of an aggregate 21,908 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on February 7, 2025.

F2: Includes 311,403 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Common StockSEC Table I · non-derivativeDirect590,141 Reported balance After 2026-08-15 transaction · row 2 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 2 · 2026-08-15 · Tax withholding · Disposed 8,621 · Balance 590,141

F3: The Reporting Person forfeited 8,621 shares of common stock upon conversion of an aggregate 21,908 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on July 1, 2024.

F4: Includes 289,495 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person forfeited 8,621 shares of common stock upon conversion of an aggregate 21,908 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on February 7, 2025.

F2: Includes 311,403 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

F3: The Reporting Person forfeited 8,621 shares of common stock upon conversion of an aggregate 21,908 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on July 1, 2024.

F4: Includes 289,495 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

CUBIC CORP /DE/

Report date May 25, 2021 · Filed May 25, 2021

Section 16 reporting ended · disclosed 2021-05-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2021-05-25 transaction · row 1
1 source row

Row 1 · 2021-05-25 · Disposition to issuer · Disposed 13,566 · Balance 0

F1: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

Performance Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-05-25 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2021-05-25 · Disposition to issuer · Disposed 3,898 · Balance 0

F2: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F1: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

Performance Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-05-25 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-05-25 · Disposition to issuer · Disposed 9,285 · Balance 0

F2: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F1: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

Performance Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-05-25 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2021-05-25 · Disposition to issuer · Disposed 7,633 · Balance 0

F2: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F1: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

F2: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
August 15, 2026 Filed Sep 4, 2026 16:33 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 8,621 $13.61 $117,331.81
Disclosure

SEC source: 0001193125-26-383260 · ownership.xml · nonDerivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 590,141

F3 · shares: The Reporting Person forfeited 8,621 shares of common stock upon conversion of an aggregate 21,908 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on July 1, 2024.

F4 · balance_after: Includes 289,495 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
August 07, 2026 Filed Sep 4, 2026 16:33 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 8,621 $13.32 $114,831.72
Disclosure

SEC source: 0001193125-26-383260 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 598,762

F1 · shares: The Reporting Person forfeited 8,621 shares of common stock upon conversion of an aggregate 21,908 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on February 7, 2025.

F2 · balance_after: Includes 311,403 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
June 05, 2026 Filed Jun 12, 2026 17:21 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 19,675 $16.89 $332,310.75
Disclosure

SEC source: 0001193125-26-269730 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 607,383

F1 · shares: The Reporting Person forfeited 19,675 shares of common stock upon conversion of an aggregate 50,000 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on June 6, 2023.

F2 · balance_after: Includes 333,311 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 15, 2026 Filed Mar 2, 2026 13:52 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 6,650 $8.70 $57,855.00
Disclosure

SEC source: 0001755059-26-000004 · ownership.xml · nonDerivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 648,058

F3 · shares: The Reporting Person forfeited 6,650 shares of common stock upon conversion of an aggregate 21,908 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on July 1, 2024.

F4 · balance_after: Includes 404,311 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 07, 2026 Filed Feb 11, 2026 14:21 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 101,862 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-046236 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 668,006

F1 · shares: Represents 101,862 restricted stock units granted to the Reporting Person under the Company's 2017 Equity Incentive Plan (the "Plan") in connection with the Reporting Person's ongoing service of the executive management team.

F2 · balance_after: Includes 470,035 unvested restriced stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 07, 2026 Filed Mar 2, 2026 13:52 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 13,298 $9.24 $122,873.52
Disclosure

SEC source: 0001755059-26-000004 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 654,708

F1 · shares: The Reporting Person forfeited 13,298 shares of common stock upon conversion of an aggregate 43,816 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on February 7, 2025.

F2 · balance_after: Includes 426,219 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
December 31, 2025 Filed Jan 7, 2026 15:15 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 19,075 $7.18 $136,958.50
Disclosure

SEC source: 0001193125-26-006144 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 566,144

F1 · shares: The Reporting Person forfeited 19,075 shares of common stock upon conversion of an aggregate 50,000 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on June 6, 2023.

F2 · balance_after: Includes 368,173 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
August 20, 2025 Filed Sep 2, 2025 19:49 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 8,359 $5.26 $43,968.34
Disclosure

SEC source: 0000950170-25-112624 · ownership.xml · nonDerivative · entry 5

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 585,219

F9 · shares: The Reporting Person forfeited 8,359 shares of common stock upon conversion of an aggregate 21,909 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on June 6, 2023.

F10 · balance_after: Includes 418,173 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
June 05, 2025 Filed Sep 2, 2025 19:49 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 19,075 $3.06 $58,369.50
Disclosure

SEC source: 0000950170-25-112624 · ownership.xml · nonDerivative · entry 4

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 593,578

F7 · shares: The Reporting Person forfeited 19,075 shares of common stock upon conversion of an aggregate 50,000 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on June 6, 2023.

F8 · balance_after: Includes 440,082 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
May 21, 2025 Filed Sep 2, 2025 19:49 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 21,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-112624 · ownership.xml · nonDerivative · entry 3

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 612,653

F5 · shares: Represents 21,000 restricted stock units granted to the Reporting Person under the Company's 2017 Equity Incentive Plan (the "Plan") in connection with the Reporting Person's ongoing service of the executive management team.

F6 · balance_after: Includes 490,082 unvested restriced stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
May 21, 2025 Filed Mar 27, 2026 18:53 UTC Amendment ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001755059-26-000006 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 591,653

F1 · shares: This Form 4/A amends the Form 4 filed on September 2, 2025, solely to correct a clerical error in the prior report, which incorrectly reflected the grant of 21,000 restricted stock units on May 21, 2025.

F2 · balance_after: As a result of this update, the number of shares beneficially owned by the Reporting Person following such transaction has been correspondingly decreased by 21,000 shares. As of March 16, 2026, the Reporting Person beneficially owns 627,058 shares. This amendment does not reflect any change in beneficial ownership other than as described above.

Read SEC document
February 20, 2025 Filed Sep 2, 2025 19:49 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 16,800 $3.76 $63,168.00
Disclosure

SEC source: 0000950170-25-112624 · ownership.xml · nonDerivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 591,653

F3 · shares: The Reporting Person forfeited 16,800 shares of common stock upon conversion of an aggregate 43,816 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on June 6, 2023.

F4 · balance_after: Includes 469,082 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
February 07, 2025 Filed Sep 2, 2025 19:49 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 131,448 $4.06 $533,678.88
Disclosure

SEC source: 0000950170-25-112624 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 608,453

F1 · shares: Represents 131,448 restricted stock units granted to the Reporting Person under the Company's 2017 Equity Incentive Plan (the "Plan") in connection with the Reporting Person's ongoing service of the executive management team.

F2 · balance_after: Includes 512,898 unvested restriced stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
July 01, 2024 Filed Jul 3, 2024 20:47 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 131,450 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-081739 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 494,530

F1 · shares: Represents 131,450 restricted stock units granted to the Reporting Person under the Issuer's 2017 Equity Incentive Plan, as amended (the "Plan"), which restricted stock units are subject to vesting conditions.

F2 · balance_after: Includes 431,450 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
June 17, 2024 Filed Jun 18, 2024 17:44 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 38,050 $2.18 $82,949.00
Disclosure

SEC source: 0001209191-24-005883 · doc4.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 363,080

F1 · kind: The Reporting Person forfeited 38,050 shares of common stock upon conversion of 100,000 vested and outstanding Restricted Stock Units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These Restricted Stock Units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on June 6, 2023.

F2 · balance_after: Includes 300,000 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
August 16, 2023 Filed Aug 18, 2023 21:34 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 PurchaseCommon Stock 1,130 $1.80 $2,034.00
Disclosure

SEC source: 0001209191-23-046661 · doc4.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 401,130

F1 · balance_after: Includes 400,000 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
June 05, 2023 Filed Jun 6, 2023 18:19 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantStock Option (right to buy) · Derivative 400,000 $0.00 Strike: $2.94 $0.00
Disclosure

SEC source: 0001209191-23-034845 · doc4.xml · derivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2033-06-04

F3 · shares: Represents non-qualified stock options to purchase 400,000 shares of of the Issuer's common stock, which stock options were granted to the Reporting Person outside of the Issuer's Plan, in connection with, and as a material inducement to, the hiring and appointment of the Reporting Person as President and Chief Executive Officer of the Issuer.

F4 · derivative.exercise_date: The stock options vest shall vest over four years, with one fourth vesting on the one-year anniversary of the date of grant and the remaining stock options vesting in six equal installments, commencing six months after the one-year anniversary of the grant date and every six months thereafter until fully vested.

Read SEC document
June 05, 2023 Filed Jun 6, 2023 18:19 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 GrantCommon Stock 400,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-034845 · doc4.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

F1 · shares: Represents 400,000 restricted stock units granted to the Reporting Person outside of the Issuer's 2017 Equity Incentive Plan, as amended (the "Plan"), in connection with, and as a material inducement to, the hiring and appointment of the Reporting Person as President and Chief Executive Officer of the Issuer, which restricted stock units are subject to vesting conditions.

F2 · balance_after: Consists of 400,000 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

Read SEC document
May 25, 2021 Filed May 25, 2021 17:26 UTC CUBIC CORP /DE/ CUB · Entity 139094 Disposition to issuerPerformance Restricted Stock Units · Derivative 7,633 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-21-005894 · edgar.xml · derivative · entry 4

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,633 shares

Expires not disclosed

F2 · derivative.exercise_price: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F1 · kind: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

F2 · price: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F2 · derivative.exercise_date: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F2 · derivative.expiration_date: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

Read SEC document
May 25, 2021 Filed May 25, 2021 17:26 UTC CUBIC CORP /DE/ CUB · Entity 139094 Disposition to issuerPerformance Restricted Stock Units · Derivative 9,285 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-21-005894 · edgar.xml · derivative · entry 3

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,285 shares

Expires not disclosed

F2 · derivative.exercise_price: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F1 · kind: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

F2 · price: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F2 · derivative.exercise_date: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F2 · derivative.expiration_date: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

Read SEC document
May 25, 2021 Filed May 25, 2021 17:26 UTC CUBIC CORP /DE/ CUB · Entity 139094 Disposition to issuerPerformance Restricted Stock Units · Derivative 3,898 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-21-005894 · edgar.xml · derivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,898 shares

Expires not disclosed

F2 · derivative.exercise_price: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F1 · kind: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

F2 · price: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F2 · derivative.exercise_date: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

F2 · derivative.expiration_date: Each performance restricted stock unit ("PRSU") was cancelled pursuant to the Merger Agreement in exchange for the right to receive the cash consideration provided in the Merger Agreement (i.e., an amount equal to the product of (i) the number of PRSUs, based on the target number or the actual level earned, as applicable, multiplied by (ii) $75.00 per PRSU, less any required tax withholding).

Read SEC document
May 25, 2021 Filed May 25, 2021 17:26 UTC CUBIC CORP /DE/ CUB · Entity 139094 Disposition to issuerCommon Stock 13,566 $75.00 $1,017,450.00
Disclosure

SEC source: 0001179110-21-005894 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 7, 2021 (as amended, the "Merger Agreement"), by and among the Issuer, Atlas CC Acquisition Corp. and Atlas Merger Sub Inc.

Read SEC document
January 29, 2021 Filed Feb 2, 2021 17:13 UTC CUBIC CORP /DE/ CUB · Entity 139094 Tax withholdingCommon Stock 6,893 $61.18 $421,713.74
Disclosure

SEC source: 0001179110-21-001062 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,566

F1 · balance_after: Includes 37 shares acquired through the Employee Stock Purchase Plan on December 31, 2020.

Read SEC document
December 05, 2020 Filed Dec 30, 2024 16:10 UTC ONE STOP SYSTEMS, INC. OSS · Entity 2767 Tax withholdingCommon Stock 17,525 $2.41 $42,235.25
Disclosure

SEC source: 0000950170-24-141130 · ownership.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 477,530

F1 · shares: (1) The Reporting Person forfeited 17,525 shares of common stock upon conversion of an aggregate 50,000 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on June 6, 2023.

F2 · balance_after: (2) Includes 381,450 unvested restricted stock units held by the Reporting Person, all of which remain subject to certain vesting conditions.

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November 27, 2020 Filed Dec 1, 2020 16:21 UTC CUBIC CORP /DE/ CUB · Entity 139094 GrantRestricted Stock Units · Derivative 7,372 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-011491 · edgar.xml · derivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,372

Underlying: Common Stock · 7,372 shares

Expires not disclosed

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of CUB common stock.

F3 · derivative.exercise_date: The performance-based RSUs vest on the date the Board of Directors certifies CUB's sales growth, EBITDA growth, and Total Shareholder Return for the three-year performance period ending on September 30, 2023, subject to the Reporting Person's continued service with CUB through such vesting date.

F3 · derivative.expiration_date: The performance-based RSUs vest on the date the Board of Directors certifies CUB's sales growth, EBITDA growth, and Total Shareholder Return for the three-year performance period ending on September 30, 2023, subject to the Reporting Person's continued service with CUB through such vesting date.

Read SEC document
November 27, 2020 Filed Dec 1, 2020 16:21 UTC CUBIC CORP /DE/ CUB · Entity 139094 GrantCommon Stock 7,372 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-011491 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,060

F1 · shares: The Restricted Stock Units ("RSUs) vest in three equal annual installments on October 1, 2021, 2022, and 2023, subject to Reporting Person's continuous service through each applicable vesting date. Vested shares will be delivered to the Reporting Person following each vesting date.

Read SEC document
November 27, 2020 Filed Dec 28, 2020 18:55 UTC Amendment CUBIC CORP /DE/ CUB · Entity 139094 GrantCommon Stock 7,372 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-012253 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,422

F1 · shares: The Restricted Stock Units ("RSUs") vest in three equal annual installments on October 1, 2021, 2022, and 2023, subject to Reporting Person's continuous service through each applicable vesting date. Vested shares will be delivered to the Reporting Person following each vesting date.

F2 · balance_after: This Form 4 amendment is filed to report all stock-settled restricted stock units held by the reporting person that were previously reported on Table II as directly owned securities on Table I to be consistent with the reporting of stock-settled restricted stock units granted on November 27, 2020. Accordingly, the total reported in Column 5 now includes 8,362 restricted stock units previously reported on Table II.

Read SEC document
November 19, 2020 Filed Nov 23, 2020 17:49 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 1,434 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-011288 · edgar.xml · derivative · entry 3

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,434 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Reflects the issuance of CUB common stock upon vesting of performance-based restricted stock units ("RSUs").

F3 · price: This is the vesting of performance-based RSUs granted to the Reporting Person on November 27, 2017.

F3 · derivative.exercise_date: This is the vesting of performance-based RSUs granted to the Reporting Person on November 27, 2017.

F3 · derivative.expiration_date: This is the vesting of performance-based RSUs granted to the Reporting Person on November 27, 2017.

Read SEC document
November 19, 2020 Filed Nov 23, 2020 17:49 UTC CUBIC CORP /DE/ CUB · Entity 139094 Tax withholdingCommon Stock 711 $64.09 $45,567.99
Disclosure

SEC source: 0001179110-20-011288 · edgar.xml · nonDerivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,688

F2 · shares: Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs.

Read SEC document
November 19, 2020 Filed Nov 23, 2020 17:49 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionCommon Stock 1,434 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-011288 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,399

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reflects the issuance of CUB common stock upon vesting of performance-based restricted stock units ("RSUs").

Read SEC document
October 01, 2020 Filed Oct 5, 2020 21:56 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 3,095 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-010289 · edgar.xml · derivative · entry 6

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,190

Underlying: Common Stock · 3,095 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F1 · price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F7 · derivative.exercise_date: This is the first of three vesting installments of RSUs granted to Reporting Person on November 29, 2019. The remaining 6,190 shares from such grant shall vest in two equal installments on each of October 1, 2021 and 2022, subject to Reporting Person's continuous service through each application vesting date.

F7 · derivative.expiration_date: This is the first of three vesting installments of RSUs granted to Reporting Person on November 29, 2019. The remaining 6,190 shares from such grant shall vest in two equal installments on each of October 1, 2021 and 2022, subject to Reporting Person's continuous service through each application vesting date.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 21:56 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 975 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-010289 · edgar.xml · derivative · entry 5

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,948

Underlying: Common Stock · 975 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F1 · price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F6 · derivative.exercise_date: This is the second of four vesting installments of RSUs granted to Reporting Person on November 21, 2018. The remaining 1,948 shares from such grant shall vest in two equal installments on each of October 1, 2021 and 2022, subject to Reporting Person's continuous service through each application vesting date.

F6 · derivative.expiration_date: This is the second of four vesting installments of RSUs granted to Reporting Person on November 21, 2018. The remaining 1,948 shares from such grant shall vest in two equal installments on each of October 1, 2021 and 2022, subject to Reporting Person's continuous service through each application vesting date.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 21:56 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 224 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-010289 · edgar.xml · derivative · entry 4

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224

Underlying: Common Stock · 224 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F1 · price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F5 · derivative.exercise_date: This is the third of four vesting installments of RSUs granted to Reporting Person on November 27, 2017. The remaining 224 shares from such grant shall vest on October 1, 2021, subject to Reporting Person's continuous service through each application vesting date.

F5 · derivative.expiration_date: This is the third of four vesting installments of RSUs granted to Reporting Person on November 27, 2017. The remaining 224 shares from such grant shall vest on October 1, 2021, subject to Reporting Person's continuous service through each application vesting date.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 21:56 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 270 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-010289 · edgar.xml · derivative · entry 3

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 270 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F1 · price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F4 · derivative.exercise_date: This is the fourth of four vesting installments of RSUs granted to Reporting Person on November 14, 2016.

F4 · derivative.expiration_date: This is the fourth of four vesting installments of RSUs granted to Reporting Person on November 14, 2016.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 21:56 UTC CUBIC CORP /DE/ CUB · Entity 139094 Tax withholdingCommon Stock 2,265 $57.54 $130,328.10
Disclosure

SEC source: 0001179110-20-010289 · edgar.xml · nonDerivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,965

F3 · shares: Consists of shares withheld by the issuer to satisfy the reporting person's tax withholding obligation upon the vesting of restricted stock units.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 21:56 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionCommon Stock 4,564 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-010289 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CMPS - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,230

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reflects the issuance of CUB common stock upon vesting of previously granted restricted stock units ("RSUs"). Each such RSU represented a contingent right to receive one share of CUB common stock.

F2 · balance_after: Includes a total of 76 shares acquired through the Employee Stock Purchase Plan on December 31, 2019 and June 30, 2020.

Read SEC document
November 29, 2019 Filed Dec 3, 2019 17:53 UTC CUBIC CORP /DE/ CUB · Entity 139094 GrantRestricted Stock Units · Derivative 9,285 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-012288 · edgar.xml · derivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,285

Underlying: Common Stock · 9,285 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of CUB common stock.

F3 · derivative.exercise_date: The time-based RSUs vest in three equal installments on each of October 1, 2020, 2021 and 2022, subject to the Reporting Person's continued service with CUB through such date.Dividend equivalent rights accrue with respect to the RSUs when and as dividends are paid on CUB common stock and vest proportionately with the RSUs to which they relate. Vested sharesand accrued dividends will be delivered to the Reporting Person following each vesting date.

F3 · derivative.expiration_date: The time-based RSUs vest in three equal installments on each of October 1, 2020, 2021 and 2022, subject to the Reporting Person's continued service with CUB through such date.Dividend equivalent rights accrue with respect to the RSUs when and as dividends are paid on CUB common stock and vest proportionately with the RSUs to which they relate. Vested sharesand accrued dividends will be delivered to the Reporting Person following each vesting date.

Read SEC document
November 29, 2019 Filed Dec 3, 2019 17:53 UTC CUBIC CORP /DE/ CUB · Entity 139094 GrantRestricted Stock Units · Derivative 9,285 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-012288 · edgar.xml · derivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,285

Underlying: Common Stock · 9,285 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of CUB common stock.

F2 · derivative.exercise_date: The performance-based RSUs vest on the date the Board of Directors certifies CUB's sales growth, EBITDA growth, and Total Shareholder Return for the three-year performance period ending on September 30, 2022, subject to the Reporting Person's continued service with CUB through such vesting date, except as otherwise provided in the applicable RSU agreement. The RSUs vest based 50% on sales growth and 50% on EBITDA growth, adjusted for a Total Shareholder Return factor, achieved by CUB during such performance period. Dividend equivalent rights accrue with respect to the RSUs when and as dividends are paid on CUB common stock and vest proportionately with the RSUs to which they relate. Vested shares and accrued dividends will be delivered to the Reporting Person following the vesting date.

F2 · derivative.expiration_date: The performance-based RSUs vest on the date the Board of Directors certifies CUB's sales growth, EBITDA growth, and Total Shareholder Return for the three-year performance period ending on September 30, 2022, subject to the Reporting Person's continued service with CUB through such vesting date, except as otherwise provided in the applicable RSU agreement. The RSUs vest based 50% on sales growth and 50% on EBITDA growth, adjusted for a Total Shareholder Return factor, achieved by CUB during such performance period. Dividend equivalent rights accrue with respect to the RSUs when and as dividends are paid on CUB common stock and vest proportionately with the RSUs to which they relate. Vested shares and accrued dividends will be delivered to the Reporting Person following the vesting date.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 21:19 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 224 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-010838 · edgar.xml · derivative · entry 5

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 448

Underlying: Common Stock · 224 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F5 · derivative.exercise_date: This is the second of four vesting installments of RSUs granted to Reporting Person on November 27, 2017. The Remaining 448 shares from such grant shall vest in two equal installments on October 1, 2020 and 2021, subject to Reporting Person's continuous service through each application vesting date.

F5 · derivative.expiration_date: This is the second of four vesting installments of RSUs granted to Reporting Person on November 27, 2017. The Remaining 448 shares from such grant shall vest in two equal installments on October 1, 2020 and 2021, subject to Reporting Person's continuous service through each application vesting date.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 21:19 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 272 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-010838 · edgar.xml · derivative · entry 4

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270

Underlying: Common Stock · 272 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F4 · derivative.exercise_date: This is the third of four vesting installments of RSUs granted to Reporting Person on November 14, 2016. The remaining 270 shares from such grant will vest October 1, 2020, subject to Reporting Person's continuous service through each application vesting date.

F4 · derivative.expiration_date: This is the third of four vesting installments of RSUs granted to Reporting Person on November 14, 2016. The remaining 270 shares from such grant will vest October 1, 2020, subject to Reporting Person's continuous service through each application vesting date.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 21:19 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 218 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-010838 · edgar.xml · derivative · entry 3

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 218 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F3 · derivative.exercise_date: This is the fourth and final vesting installment of RSUs granted to Reporting Person on November 6, 2015.

F3 · derivative.expiration_date: This is the fourth and final vesting installment of RSUs granted to Reporting Person on November 6, 2015.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 21:19 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Units · Derivative 975 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-010838 · edgar.xml · derivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,923

Underlying: Common Stock · 975 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F2 · derivative.exercise_date: This is the first of four vesting installments of RSUs granted to Reporting Person on November 21, 2018. The remaining 2,923 shares from such grant shall vest in 3 equal installments on October 1, 2020, 2021, and 2022, subject to Reporting Person's continuous service through each application vesting date.

F2 · derivative.expiration_date: This is the first of four vesting installments of RSUs granted to Reporting Person on November 21, 2018. The remaining 2,923 shares from such grant shall vest in 3 equal installments on October 1, 2020, 2021, and 2022, subject to Reporting Person's continuous service through each application vesting date.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 21:19 UTC CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionCommon Stock 1,689 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-010838 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,389

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

Read SEC document
October 01, 2019 Filed Dec 12, 2019 18:46 UTC Amendment CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Unit · Derivative 224 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-012724 · edgar.xml · derivative · entry 6

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 448

Underlying: Common Stock · 224 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F6 · derivative.exercise_date: This is the second of four vesting installments of RSUs granted to Reporting Person on November 27, 2017. The Remaining 448 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.

F6 · derivative.expiration_date: This is the second of four vesting installments of RSUs granted to Reporting Person on November 27, 2017. The Remaining 448 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.

Read SEC document
October 01, 2019 Filed Dec 12, 2019 18:46 UTC Amendment CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Unit · Derivative 272 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-012724 · edgar.xml · derivative · entry 5

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270

Underlying: Common Stock · 272 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F5 · derivative.exercise_date: This is the third of four vesting installments of RSUs granted to Reporting Person on November 14, 2016. The remaining 270 shares from such grant will vest October 1, 2020, subject toReporting Person's continuous service through each application vesting date.

F5 · derivative.expiration_date: This is the third of four vesting installments of RSUs granted to Reporting Person on November 14, 2016. The remaining 270 shares from such grant will vest October 1, 2020, subject toReporting Person's continuous service through each application vesting date.

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October 01, 2019 Filed Dec 12, 2019 18:46 UTC Amendment CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Unit · Derivative 218 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-012724 · edgar.xml · derivative · entry 4

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 218 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F4 · derivative.exercise_date: This is the fourth and final vesting installment of RSUs granted to Reporting Person on November 6, 2015.

F4 · derivative.expiration_date: This is the fourth and final vesting installment of RSUs granted to Reporting Person on November 6, 2015.

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October 01, 2019 Filed Dec 12, 2019 18:46 UTC Amendment CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionRestricted Stock Unit · Derivative 975 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-012724 · edgar.xml · derivative · entry 3

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,923

Underlying: Common Stock · 975 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F3 · derivative.exercise_date: This is the first of four vesting installments of RSUs granted to Reporting Person on November 21, 2018. The remaining 2,923 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.

F3 · derivative.expiration_date: This is the first of four vesting installments of RSUs granted to Reporting Person on November 21, 2018. The remaining 2,923 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.

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October 01, 2019 Filed Dec 12, 2019 18:46 UTC Amendment CUBIC CORP /DE/ CUB · Entity 139094 Tax withholdingCommon Stock 799 $67.55 $53,972.45
Disclosure

SEC source: 0001179110-19-012724 · edgar.xml · nonDerivative · entry 2

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,590

F2 · kind: Shares withheld by CUB to satisfy the minimum statutory tax withholding obligations that arose upon the vesting of the RSUs.

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October 01, 2019 Filed Dec 12, 2019 18:46 UTC Amendment CUBIC CORP /DE/ CUB · Entity 139094 Exercise / conversionCommon Stock 1,689 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-012724 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,389

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

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June 28, 2019 Filed Jul 2, 2019 09:14 UTC CUBIC CORP /DE/ CUB · Entity 139094 OtherCommon Stock 28 $61.26 $1,715.17
Disclosure

SEC source: 0001179110-19-008275 · edgar.xml · nonDerivative · entry 1

KNOWLES MICHAEL · CIK 0001755059 · President, CGD - SVP, CORP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

F1 · balance_after: Represents securities acquired through Cubic's ESPP.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.