|
UNITED STATES |
|
|
SECURITIES AND EXCHANGE COMMISSION |
|
|
Washington, D.C. 20549 |
|
|
|
|
|
SCHEDULE 13D |
|
Under the Securities Exchange Act of 1934
Cubic Corporation
(Name of Issuer)
Common Stock
(Title of Class of Securities)
229669106
(CUSIP Number)
James R. Edwards
Cubic Corporation
General Counsel
9333 Balboa Avenue
San Diego, California 92123
(858) 505-2226
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
June 23, 2012
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or 13d-1(g), check the following box: o
* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
CUSIP No. 229669106 |
SCHEDULE 13D |
| |||||
| |||||||
|
1. |
Name of Reporting Person; S.S. or IRS Identification | |||||
| |||||||
|
2. |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3. |
SEC Use Only | |||||
| |||||||
|
4. |
Source of Funds | |||||
| |||||||
|
5. |
Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6. |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7. |
Sole Voting Power | |||||
| |||||||
8. |
Shared Voting Power | ||||||
| |||||||
9. |
Sole Dispositive Power | ||||||
| |||||||
10. |
Shared Dispositive Power | ||||||
| |||||||
|
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12. |
Check box if the Aggregate Amount in Row 11 Excludes Certain Shares o | |||||
| |||||||
|
13. |
Percent of Class Represented by Amount in Row 11 | |||||
| |||||||
|
14. |
Type of Reporting Person | |||||
CUSIP No. 229669106 |
SCHEDULE 13D |
| |||||
| |||||||
|
1. |
Name of Reporting Person; S.S. or IRS Identification | |||||
| |||||||
|
2. |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3. |
SEC Use Only | |||||
| |||||||
|
4. |
Source of Funds | |||||
| |||||||
|
5. |
Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6. |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7. |
Sole Voting Power | |||||
| |||||||
8. |
Shared Voting Power | ||||||
| |||||||
9. |
Sole Dispositive Power | ||||||
| |||||||
10. |
Shared Dispositive Power | ||||||
| |||||||
|
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12. |
Check box if the Aggregate Amount in Row 11 Excludes Certain Shares o | |||||
| |||||||
|
13. |
Percent of Class Represented by Amount in Row 11 | |||||
| |||||||
|
14. |
Type of Reporting Person | |||||
CUSIP No. 229669106 |
SCHEDULE 13D |
| |||||
| |||||||
|
1. |
Name of Reporting Person; S.S. or IRS Identification | |||||
| |||||||
|
2. |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3. |
SEC Use Only | |||||
| |||||||
|
4. |
Source of Funds | |||||
| |||||||
|
5. |
Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6. |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7. |
Sole Voting Power | |||||
| |||||||
8. |
Shared Voting Power | ||||||
| |||||||
9. |
Sole Dispositive Power | ||||||
| |||||||
10. |
Shared Dispositive Power | ||||||
| |||||||
|
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12. |
Check box if the Aggregate Amount in Row 11 Excludes Certain Shares o | |||||
| |||||||
|
13. |
Percent of Class Represented by Amount in Row 11 | |||||
| |||||||
|
14. |
Type of Reporting Person | |||||
CUSIP No. 229669106 |
SCHEDULE 13D |
| |||||
| |||||||
|
1. |
Name of Reporting Person; S.S. or IRS Identification | |||||
| |||||||
|
2. |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3. |
SEC Use Only | |||||
| |||||||
|
4. |
Source of Funds | |||||
| |||||||
|
5. |
Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6. |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7. |
Sole Voting Power | |||||
| |||||||
8. |
Shared Voting Power | ||||||
| |||||||
9. |
Sole Dispositive Power | ||||||
| |||||||
10. |
Shared Dispositive Power | ||||||
| |||||||
|
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12. |
Check box if the Aggregate Amount in Row 11 Excludes Certain Shares o | |||||
| |||||||
|
13. |
Percent of Class Represented by Amount in Row 11 | |||||
| |||||||
|
14. |
Type of Reporting Person | |||||
CUSIP No. 229669106 |
SCHEDULE 13D |
| |||||
| |||||||
|
1. |
Name of Reporting Person; S.S. or IRS Identification | |||||
| |||||||
|
2. |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3. |
SEC Use Only | |||||
| |||||||
|
4. |
Source of Funds | |||||
| |||||||
|
5. |
Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6. |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7. |
Sole Voting Power | |||||
| |||||||
8. |
Shared Voting Power | ||||||
| |||||||
9. |
Sole Dispositive Power | ||||||
| |||||||
10. |
Shared Dispositive Power | ||||||
| |||||||
|
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12. |
Check box if the Aggregate Amount in Row 11 Excludes Certain Shares o | |||||
| |||||||
|
13. |
Percent of Class Represented by Amount in Row 11 | |||||
| |||||||
|
14. |
Type of Reporting Person | |||||
CUSIP No. 229669106 |
SCHEDULE 13D |
| |||||
| |||||||
|
1. |
Name of Reporting Person; S.S. or IRS Identification | |||||
| |||||||
|
2. |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3. |
SEC Use Only | |||||
| |||||||
|
4. |
Source of Funds | |||||
| |||||||
|
5. |
Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6. |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7. |
Sole Voting Power | |||||
| |||||||
8. |
Shared Voting Power | ||||||
| |||||||
9. |
Sole Dispositive Power | ||||||
| |||||||
10. |
Shared Dispositive Power | ||||||
| |||||||
|
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12. |
Check box if the Aggregate Amount in Row 11 Excludes Certain Shares o | |||||
| |||||||
|
13. |
Percent of Class Represented by Amount in Row 11 | |||||
| |||||||
|
14. |
Type of Reporting Person | |||||
CUSIP No. 229669106 |
SCHEDULE 13D |
| |||||
| |||||||
|
1. |
Name of Reporting Person; S.S. or IRS Identification | |||||
| |||||||
|
2. |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3. |
SEC Use Only | |||||
| |||||||
|
4. |
Source of Funds | |||||
| |||||||
|
5. |
Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6. |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7. |
Sole Voting Power | |||||
| |||||||
8. |
Shared Voting Power | ||||||
| |||||||
9. |
Sole Dispositive Power | ||||||
| |||||||
10. |
Shared Dispositive Power | ||||||
| |||||||
|
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12. |
Check box if the Aggregate Amount in Row 11 Excludes Certain Shares o | |||||
| |||||||
|
13. |
Percent of Class Represented by Amount in Row 11 | |||||
| |||||||
|
14. |
Type of Reporting Person | |||||
CUSIP No. 229669106 |
SCHEDULE 13D |
| |||||
| |||||||
|
1. |
Name of Reporting Person; S.S. or IRS Identification | |||||
| |||||||
|
2. |
Check the Appropriate Box if a Member of a Group | |||||
|
|
(a) |
o | ||||
|
|
(b) |
o | ||||
| |||||||
|
3. |
SEC Use Only | |||||
| |||||||
|
4. |
Source of Funds | |||||
| |||||||
|
5. |
Check box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) o | |||||
| |||||||
|
6. |
Citizenship or Place of Organization | |||||
| |||||||
Number of |
7. |
Sole Voting Power | |||||
| |||||||
8. |
Shared Voting Power | ||||||
| |||||||
9. |
Sole Dispositive Power | ||||||
| |||||||
10. |
Shared Dispositive Power | ||||||
| |||||||
|
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
| |||||||
|
12. |
Check box if the Aggregate Amount in Row 11 Excludes Certain Shares o | |||||
| |||||||
|
13. |
Percent of Class Represented by Amount in Row 11 | |||||
| |||||||
|
14. |
Type of Reporting Person | |||||
CUSIP No. 229669106 |
SCHEDULE 13D |
|
Item 1. Security and Issuer.
This statement relates to shares of common stock of Cubic Corporation (the Company). The Companys principal offices are located at 9333 Balboa Avenue, San Diego, CA 92123.
Item 2. Identity and Background.
(a) This statement is filed by the persons listed below, all of whom together are referred to herein as the Reporting Persons.
(i) Walter C. Zable;
(ii) Karen F. Cox;
(iii) Zable QTIP Marital Trust Dated 9/18/78 (Zable QTIP Marital Trust);
(iv) The Survivors Trust Created Under the Zable Trust Dated 9/18/1978 (Survivors Trust);
(v) Walter J. Zable Special Trust Dated May 6, 2003 (Special Trusts);
(vi) Zable Trust Dated September 18, 1978 (Zable Trust);
(vii) Zable Reverse QTIP Marital Trust Dated 9/18/78 (Zable Reverse QTIP Marital Trust); and
(viii) Zable Non-QTIP Marital Trust Dated 9/18/78 (Zable Non QTIP Marital Trust and together with the Zable QTIP Marital Trust, the Survivors Trust, the Special Trusts, the Zable Trust and the Zable Reverse QTIP Marital Trust, collectively, the Trusts).
(b) The mailing address for each of the Reporting Persons is c/o Cubic Corporation, 9333 Balboa Avenue, San Diego, CA 92123.
(c) Walter C. Zable is Executive Chairman of the Companys Board of Directors. Karen F. Coxs principal occupation is in public relations.
(d) None of the Reporting Persons has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).
(e) None of the Reporting Persons has, during the last five years, been party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
(f) Each of Walter C. Zable and Karen F. Cox is a citizen of the United States.
In addition, each of the Trusts is organized under the laws of the State of California.
CUSIP No. 229669106 |
SCHEDULE 13D |
|
Item 3. Source and Amount of Funds or Other Consideration.
On June 23, 2012, Walter J. Zable, founder, Chief Executive Officer and Chairman of the Board of the Company passed away. Walter J. Zable was the father of each of Walter C. Zable and Karen F. Cox. Walter J. Zable was previously the trustee of the Trusts, which held an aggregate of 8,826,396 shares (the Shares). On June 25, 2012, after the passing of Walter J. Zable, it was determined that Walter C. Zable and Karen F. Cox became co-trustees (the Co-Trustees) of the Trusts and acquired shared voting and dispositive power of the shares held by the Trusts. No funds or other consideration were transferred in connection with the appointment of the Co-Trustees. Walter C. Zable and Karen Cox are not the sole beneficiaries of the Trusts.
Item 4. Purpose of Transaction.
The purpose of the acquisition of the Shares is for investment.
The Walter C. Zable and Karen F. Cox are not the sole beneficiaries of the Trusts.
Walter C. Zable is currently a director of the Company and is a party to the private discussions of the Company regarding the vacancy on the Board of the Company due to the passing of Walter J. Zable.
Except to the extent the foregoing may be deemed a plan or proposal, none of the Reporting Persons has any plans or proposals which relate to, or could result in, any of the matters referred to in paragraphs (a) through (j), inclusive, of the instructions to Item 4 of Schedule 13D. The Reporting Persons may, at any time and from time to time, review or reconsider their position and/or change their purpose and/or formulate plans or proposals with respect thereto.
Item 5. Interest in Securities of the Issuer.
Walter C. Zable
(a), (b) The information set forth in Rows 7 through 13 of the cover page hereto for Walter C. Zable is incorporated herein by reference. The percentage amount set forth in Row 13 of the cover page filed herewith is calculated based upon 26,736,307 shares of common stock of the Company outstanding, as reported by the Company in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 3, 2012.
(c) None.
(d) The Co-Trustees have the shared power to direct the receipt of dividends, if any, relating to, or the disposition of the proceeds of the sale of, the Shares held by the Trusts as reported herein.
(e) Not applicable.
Karen F. Cox
(a), (b) The information set forth in Rows 7 through 13 of the cover page hereto for Karen F. Cox is incorporated herein by reference.
(c) None.
(d) The Co-Trustees have the shared power to direct the receipt of dividends, if any, relating to, or the disposition of the proceeds of the sale of, the Shares held by the Trusts as reported herein.
(e) Not applicable.
CUSIP No. 229669106 |
SCHEDULE 13D |
|
The Trusts
(a), (b) The information set forth in Rows 7 through 13 of the cover pages hereto for each of the Trusts is incorporated herein by reference for each of the Trusts, respectively.
(c) None.
(d) The Co-Trustees have the shared power to direct the receipt of dividends, if any, relating to, or the disposition of the proceeds of the sale of, the Shares held by the Trusts as reported herein.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
None.
Item 7. Material to be Filed as Exhibits.
There is filed herewith as Exhibit 1 a written agreement relating to the filing of joint acquisition statements as required by Section 240.13d-1(k) under the Securities Exchange Act of 1934, as amended.
CUSIP No. 229669106 |
SCHEDULE 13D |
|
SIGNATURES
After reasonable inquiry and to the best of each of the undersigneds knowledge and belief, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct.
Dated: July 17, 2012
|
/s/ James R. Edwards |
|
James R. Edwards, as attorney-in-fact for each of Walter C. Zable, Karen F. Cox, the Zable QTIP Marital Trust Dated 9/18/78, the Survivors Trust Created Under the Zable Trust Dated 9/18/1978, the Walter J. Zable Special Trust Dated May 6, 2003, the Zable Trust Dated September 18, 1978, the Zable Reverse QTIP Marital Trust Dated 9/18/78 and the Zable Non-QTIP Marital Trust Dated 9/18/78 |
The executed Power of Attorney authorizing James R. Edwards to sign and file this Schedule 13D on behalf of the Reporting Persons, is filed herewith.