SEC Form 5 · accession 0000851520-18-000023
EXPONENT INC · EXPO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sally Shepard
Officer — Chief Human Resources Officer
Period of report
Dec 29, 2017
Accepted (ET)
Feb 12, 2018 · 12:15 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,F2 | Jan 2, 2015 | P | 262 | $38.5178 | A | 262 | D | |
| Common Stock | holding | — | — | — | 10 | I | by Son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent RightsF5,F3 | — | Dec 29, 2017 | A | 35 | A | Sep 11, 2018 | Sep 11, 2018 | Common Stock | 35 | 107 | D |
| Dividend Equivalent RightsF5,F3 | — | Dec 29, 2017 | A | 22 | A | Mar 13, 2019 | Mar 13, 2019 | Common Stock | 22 | 60 | D |
| Dividend Equivalent RightsF5,F4 | — | Dec 29, 2017 | A | 66 | A | Mar 11, 2020 | Mar 11, 2020 | Common Stock | 66 | 115 | 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.
- F2Reporting an ESPP purchase that was previously omitted from the 2015 Form 5 filed on 2/12/16. The reporting person's current direct holdings are 1,822 shares.
- F31-for-1.
- F4The dividend equivalent rights accrued with respect to RSUs, pursuant to dividends earned in 2017.
- F5Not applicable.