SEC Form 5 · accession 0000851520-17-000022
EXPONENT INC · EXPO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Osteraas
Officer — Group Vice President
Period of report
Dec 30, 2016
Accepted (ET)
Feb 13, 2017 · 8:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000851520
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 1, 2016 | A | 40 | $48.0605 | A | 7,936 | D | |
| Common StockF1 | Jul 1, 2016 | A | 40 | $55.0715 | A | 7,976 | D | |
| Common StockF1 | Sep 30, 2016 | A | 39 | $48.507 | A | 8,015 | D | |
| Common StockF1 | Dec 30, 2016 | A | 39 | $57.285 | A | 8,054 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent RightsF4,F2 | — | Dec 30, 2016 | A | 46 | A | Mar 15, 2017 | Mar 15, 2017 | Common Stock | 46 | 158 | D |
| Dividend Equivalent RightsF4,F2 | — | Dec 30, 2016 | A | 14 | A | Mar 14, 2018 | Mar 14, 2018 | Common Stock | 14 | 38 | D |
| Dividend Equivalent RightsF4,F2 | — | Dec 30, 2016 | A | 25 | A | Mar 13, 2019 | Mar 13, 2019 | Common Stock | 25 | 43 | D |
| Dividend Equivalent RightsF4,F2 | — | Dec 30, 2016 | A | 20 | A | Mar 11, 2020 | Mar 11, 2020 | Common Stock | 20 | 20 | D |
Explanation of responses
- F1Acquisition of stock pursuant to Exponent, Inc. Employee Stock Purchase Plan under the provisions of Section 423 of the Internal Revenue Code in a transaction exempt under SEC Rule 16b-3.
- F21-for-1.
- F3The dividend equivalent rights accrued with respect to RSUs, pursuant to dividends earned in 2016.
- F4Not applicable.