SEC Form 4 · accession 0001523711-16-000149

· MAT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Kevin M Farr

Officer — Chief Financial Officer

Period of report

Aug 1, 2016

Accepted (ET)

Aug 3, 2016 · 3:59 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 Stock^F1	Aug 1, 2016	M	7,904	—	A	244,871	D
Common Stock^F2	Aug 1, 2016	F	4,125	$32.72	D	240,746	D
Common Stock^F3	Aug 1, 2016	M	9,929	—	A	250,675	D
Common Stock^F4	Aug 1, 2016	F	5,181	$32.72	D	245,494	D
Common Stock^F5	holding	—	—		—	16,177	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 Units^F1	—	Aug 1, 2016	M	7,904	D	—	—	Common Stock	7,904	0	D
Restricted Stock Units^F3	—	Aug 1, 2016	M	9,929	D	—	—	Common Stock	9,929	9,929	D
Employee Stock Option - Right to Buy^F6	$32.72	Aug 1, 2016	A	142,683	A	—	Aug 1, 2026	Common Stock	142,683	142,683	D
Restricted Stock Units^F7,F8	—	Aug 1, 2016	A	17,879	A	—	—	Common Stock	17,879	17,879	D

Explanation of responses

F1As reported on a Form 4 dated August 1, 2013 and filed on August 5, 2013, the reporting person received a grant of 15,808 Restricted Stock Units ("RSUs" or "Units") on August 1, 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 August 1, 2016, the remaining 50% of these RSUs vested, resulting in the issuance of 7,904 shares of Mattel, Inc. Common Stock.
F2Pursuant to the terms of the August 1, 2013 RSU grant, 4,125 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding.
F3As reported on a Form 4 dated July 31, 2014 and filed on August 4, 2014, the reporting person received a grant of 19,858 RSUs on August 1, 2014. 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 August 1, 2016, the first 50% of these RSUs vested, resulting in the issuance of 9,929 shares of Mattel, Inc. Common Stock.
F4Pursuant to the terms of the August 1, 2014 RSU grant, 5,181 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding.
F5As of August 1, 2016, the reporting person had a balance of $529,302.74 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.
F6The option was granted on August 1, 2016 pursuant to the Mattel, Inc. Amended and Restated 2010 Equity and Long-Term Compensation Plan (the "Plan"). The option vests and becomes exercisable with regard to (a) 33% of the shares granted on the first anniversary of the date of grant, (b) an additional 33% of the shares granted on the second anniversary of the date of grant, and (c) the remaining 34% of the shares granted on the third anniversary of the date of grant.
F7The RSUs were granted on August 1, 2016 pursuant to the Plan. Each Unit represents a contingent right to 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 such share).
F8The RSUs vest as to (a) 33% of the Units on the first anniversary of the date of grant, (b) an additional 33% of the Units on the second anniversary of the date of grant, and (c) the remaining 34% 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.