SEC Form 4 · accession 0001523711-15-000017
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herbert Scott Topham
Officer — SVP and Corporate Controller
Period of report
Apr 23, 2015
Accepted (ET)
Apr 24, 2015 · 3:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000063276
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 23, 2015 | M | 7,679 | $26.375 | A | 9,830 | D | |
| Common StockF1 | Apr 23, 2015 | S | 7,679 | $28.8837 | D | 2,151 | D | |
| Common StockF1 | Apr 23, 2015 | S | 2,151 | $28.8837 | D | 0 | D | |
| Common StockF2 | holding | — | — | — | 1,224 | I | In 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option - Rght to Buy | $26.375 | Apr 23, 2015 | M | 7,679 | D | Aug 1, 2014 | Aug 1, 2021 | Common Stock | 7,679 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $28.881 to $28.887. The price reported reflects the weighted average purchase price. The reporting person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transactions were effected.
- F2As of April 23, 2015, the reporting person had a balance of $35,410.47 in the Mattel Stock Fund of Mattel's 401(k) Personal Investment Plan ("PIP"). The number of shares has been calculated by the plan administrator for the PIP.