SEC Form 4 · accession 0001523711-16-000155
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geoffrey H Walker
Officer — EVP, Chief Strategic Tech Off
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 4:01 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 | Aug 1, 2016 | M | 3,513 | — | A | 30,590 | D | |
| Common StockF2 | Aug 1, 2016 | F | 1,321 | $32.72 | D | 29,269 | D | |
| Common StockF3 | Aug 1, 2016 | M | 4,728 | — | A | 33,997 | D | |
| Common StockF4 | Aug 1, 2016 | F | 1,777 | $32.72 | D | 32,220 | D | |
| Common StockF5 | holding | — | — | — | 4,766 | 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 | — | Aug 1, 2016 | M | 3,513 | D | — | — | Common Stock | 3,513 | 0 | D |
| Restricted Stock UnitsF3 | — | Aug 1, 2016 | M | 4,728 | D | — | — | Common Stock | 4,728 | 4,728 | D |
| Employee Stock Option - Right to BuyF6 | $32.72 | Aug 1, 2016 | A | 85,366 | A | — | Aug 1, 2026 | Common Stock | 85,366 | 85,366 | D |
| Restricted Stock UnitsF7,F8 | — | Aug 1, 2016 | A | 10,697 | A | — | — | Common Stock | 10,697 | 10,697 | 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 7,026 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 3,513 shares of Mattel, Inc. Common Stock.
- F2Pursuant to the terms of the August 1, 2013 RSU grant, 1,321 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding.
- F3As reported on a Form 4 dated August 1, 2014 and filed on August 4, 2014, the reporting person received a grant of 9,456 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 4,728 shares of Mattel, Inc. Common Stock.
- F4Pursuant to the terms of the August 1, 2014 RSU grant, 1,777 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 $155,931.98 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.