SEC Form 4 · accession 0001523711-15-000065
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mandana Sadigh
Officer — SVP and Corporate Treasurer
Period of report
Dec 12, 2015
Accepted (ET)
Dec 15, 2015 · 2:57 pm EST
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 StockF1,F3 | Dec 12, 2015 | M | 813 | — | A | 33,091 | I | In trust |
| Common StockF2,F3 | Dec 12, 2015 | F | 306 | $26.25 | D | 32,785 | I | In trust |
| Common StockF4 | holding | — | — | — | 2,782 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Dec 12, 2015 | M | 813 | D | — | — | Common Stock | 813 | 813 | D |
Explanation of responses
- F1As reported on a Form 4 dated December 12, 2014 and filed on January 16, 2015, the reporting person received a grant of 1,626 Restricted Stock Units ("RSUs" or "Units") on December 12, 2014. The RSUs vest as to 50% of the Units on the first anniversary of the date of grant and as to the remaining 50% of the Units on the second anniversary of the date of grant. On each vesting date, for each Unit vesting on such date, the reporting person will receive one share of Mattel, Inc. common stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of one share of common stock on the date of vesting), subject to tax withholding. On December 12, 2015, the first 50% of these RSUs vested, resulting in the issuance of 813 shares of Mattel, Inc. common stock.
- F2Pursuant to the terms of the December 12, 2014 RSU grant, 306 shares of Mattel, Inc. common stock were automatically withheld at vesting to cover required tax withholding.
- F3The Ahmadi Family Trust, dated January 29, 1999.
- F4As of December 12, 2015, the reporting person had a balance of $73,036.08 in the Mattel Stock Fund of Mattel, Inc.'s 401(k) Personal Investment Plan ("PIP"). The number of shares has been calculated by the plan administrator for the PIP.