SEC Form 5 · accession 0000851520-18-000019
EXPONENT INC · EXPO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Pye
Officer — Group Vice President
Period of report
Dec 29, 2017
Accepted (ET)
Feb 9, 2018 · 5:54 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 | Mar 31, 2017 | P | 24 | $56.5725 | A | 18,391 | D | |
| Common StockF1 | Jun 30, 2017 | P | 30 | $55.385 | A | 18,421 | D | |
| Common StockF1 | Sep 29, 2017 | P | 19 | $70.205 | A | 14,840 | D | |
| Common StockF1 | Dec 29, 2017 | P | 24 | $67.545 | A | 14,864 | 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 29, 2017 | A | 28 | A | Mar 14, 2018 | Mar 14, 2018 | Common Stock | 28 | 57 | D |
| Dividend Equivalent RightsF4,F2 | — | Dec 29, 2017 | A | 24 | A | Mar 13, 2019 | Mar 13, 2019 | Common Stock | 24 | 49 | D |
| Dividend Equivalent RightsF4,F2 | — | Dec 29, 2017 | A | 26 | A | Mar 11, 2020 | Mar 11, 2020 | Common Stock | 26 | 46 | 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 2017.
- F4Not applicable.