SEC Form 4 · accession 0001523711-16-000087
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Dickson
Officer — Pres & Chief Operating Officer
Period of report
Apr 13, 2016
Accepted (ET)
Apr 14, 2016 · 4:46 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 13, 2016 | M | 17,647 | — | A | 23,312 | D | |
| Common StockF2 | Apr 13, 2016 | F | 7,918 | $33.42 | D | 15,394 | D | |
| Common StockF3 | holding | — | — | — | 715 | 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 | — | Apr 13, 2016 | M | 17,647 | D | — | — | Common Stock | 17,647 | 35,829 | D |
Explanation of responses
- F1As reported on a Form 4 dated April 13, 2015 and filed on April 14, 2015, the reporting person received a grant of 53,476 Restricted Stock Units ("RSUs" or "Units") on April 13, 2015. The RSUs vest as to 33% of the Units on the first anniversary of the date of grant, an additional 33% of the Units on the second anniversary of the date of grant and as to the remaining 34% of the Units on the third anniversary of the date of grant. On the 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 13, 2016, the first 33% of these RSUs vested, resulting in the issuance of 17,647 shares of Mattel, Inc. common stock.
- F2Pursuant to the terms of the April 13, 2015 RSU grant, 7,918 shares of Mattel, Inc. common stock were automatically withheld at vesting to cover required tax withholding.
- F3As of April 13, 2016, the reporting person had a balance of $23,896.71 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.