SEC Form 4 · accession 0001523711-16-000123
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dominic Ng
Director
Period of report
May 19, 2016
Accepted (ET)
May 23, 2016 · 5:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000063276
Table I — non-derivative securities
No Table I lines on this filing.
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,F2 | — | May 19, 2016 | A | 4,619 | A | — | — | Common Stock | 4,619 | 4,619 | D |
| Phantom StockF3,F4 | — | May 19, 2016 | A | 3,629 | A | — | — | Common Stock | 3,629 | 21,737 | D |
Explanation of responses
- F1The Restricted Stock Units ("RSUs") were granted on May 19, 2016, pursuant to the Mattel, Inc. Amended and Restated 2010 Equity and Long-Term Compensation Plan. Each RSU represents a contingent right to receive one share of Common Stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of such share on the settlement date). The RSUs are accompanied by dividend equivalent rights.
- F2The RSUs are fully vested on the grant date. Vested RSUs generally will be settled on the third anniversary of the grant date. On the settlement date, for each vested RSU, the reporting person will receive one share of 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 settlement date).
- F3Distributions from the reporting person's phantom stock account will be in the form of shares of Mattel, Inc. Common Stock equal in value to the value of the phantom stock account.
- F4The phantom stock units will be settled in shares of Mattel, Inc. Common Stock following the reporting person's separation from service with Mattel, Inc.