SEC Form 4 · accession 0001523711-16-000085
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter D Gibbons
Officer — EVP&Chief Supply Chain Officer
Period of report
Apr 9, 2016
Accepted (ET)
Apr 11, 2016 · 4:58 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 StockF1 | Apr 9, 2016 | M | 2,312 | — | A | 8,086 | D | |
| Common StockF2 | Apr 9, 2016 | F | 869 | $32.30 | D | 7,217 | D |
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 | — | Apr 9, 2016 | M | 2,312 | D | — | — | Common Stock | 2,312 | 0 | D |
Explanation of responses
- F1As reported on Form 4 dated April 9, 2013 and filed on April 10, 2013, the reporting person received a grant of 4,623 Restricted Stock Units (the "RSUs" or the "Units") on April 9, 2013. The RSUs vest as to 50% of the Units on the second anniversary of the date of grant and as to the remaining 50% of the Units on the third 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 April 9, 2016, the remaining 50% of the RSUs vested, resulting in the issuance of 2,312 shares of Mattel, Inc. common stock.
- F2Pursuant to the April 9, 2013 RSU grant, 869 shares of Mattel, Inc. common stock were automatically withheld at vesting to cover required tax withholding.