SEC Form 4 · accession 0001523711-16-000079
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin M Farr
Officer — Chief Financial Officer
Period of report
Feb 22, 2016
Accepted (ET)
Feb 23, 2016 · 5:41 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 Stock | Feb 22, 2016 | M | 62,500 | $17.94 | A | 282,718 | D | |
| Common StockF1,F2 | Feb 22, 2016 | S | 50,000 | $31.809 | D | 232,718 | D | |
| Common StockF3 | holding | — | — | — | 15,997 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $17.94 | Feb 22, 2016 | M | 62,500 | D | Aug 1, 2009 | Aug 1, 2016 | Common Stock | 62,500 | 0 | D |
Explanation of responses
- F1The reporting person sold the minimum number of shares to satisfy the exercise price and tax withholding obligation and held the remaining shares acquired from the option exercise.
- F2This transaction was executed in multiple trades at prices ranging from $31.68 to $32.475. 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.
- F3As of February 22, 2016, the reporting person had a balance of $518,314.69 in the Mattel Stock Fund of Mattel, Inc.'s 401(k) plan, the Personal Investment Plan ("PIP"). The number of shares has been calculated by the plan administrator for the PIP.