SEC Form 5 · accession 0000851520-19-000022
EXPONENT INC · EXPO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard L Schlenker Jr.
Officer — EVP & Chief Financial Officer
Period of report
Dec 28, 2018
Accepted (ET)
Feb 11, 2019 · 1:06 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 Stock | Mar 30, 2018 | P | 198 | $37.3588 | A | 201,827 | D | |
| Common Stock | Jun 29, 2018 | P | 197 | $45.885 | A | 233,653 | D | |
| Common Stock | Sep 28, 2018 | P | 152 | $50.92 | A | 233,805 | D | |
| Common Stock | Dec 28, 2018 | P | 54 | $47.424 | A | 233,859 | 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 28, 2018 | A | 233 | A | Mar 13, 2019 | Mar 13, 2019 | Common Stock | 233 | 977 | D |
| Dividend Equivalent RightsF4,F2 | — | Dec 28, 2018 | A | 201 | A | Mar 11, 2020 | Mar 11, 2020 | Common Stock | 201 | 601 | 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 2018.
- F4Not applicable.