SEC Form 4 · accession 0000851520-18-000101
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
Sep 11, 2018
Accepted (ET)
Sep 13, 2018 · 5:53 pm EDT
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 StockF2 | Sep 11, 2018 | M | 280 | — | A | 3,924 | D | |
| Common StockF2 | Sep 11, 2018 | M | 5,288 | — | A | 9,212 | D | |
| Common Stock | Sep 11, 2018 | F | 1,926 | $52.55 | D | 7,286 | D | |
| Common Stock | holding | — | — | — | 20 | 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 RightsF2,F5 | — | Sep 11, 2018 | A | 66 | A | Sep 11, 2018 | Sep 11, 2018 | Common Stock | 66 | 280 | D |
| Dividend Equivalent RightsF2,F1 | — | Sep 11, 2018 | M | 280 | D | Sep 11, 2018 | Sep 11, 2018 | Common Stock | 280 | 0 | D |
| Restricted Stock UnitsF2,F3 | — | Sep 11, 2018 | M | 5,288 | D | Sep 11, 2018 | Sep 11, 2018 | Common Stock | 5,288 | 0 | D |
Explanation of responses
- F1Settlement of dividend equivalent rights in connection with RSU release on a 1:1 basis.
- F2Not applicable.
- F3Reflects the conversion of shares of vested Restricted Stock Units granted on September 11, 2014 into shares of Common Stock on a 1:1 basis.
- F4Reflects shares of common stock withheld by the Company to satify the tax withholding obligations of the Reporting Person.
- F5The dividend equivalent rights accrued with respect to RSUs, pursuant to dividends earned in 2014 and 2018.