SEC Form 4 · accession 0001523711-16-000157
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 30, 2016
Accepted (ET)
Aug 31, 2016 · 4:18 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 | Aug 30, 2016 | M | 7,128 | $21.50 | A | 39,348 | D | |
| Common StockF1 | Aug 30, 2016 | S | 7,128 | $33.569 | D | 32,220 | D | |
| Common StockF2 | holding | — | — | — | 4,816 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option - Rght to Buy | $21.50 | Aug 30, 2016 | M | 7,128 | D | Aug 2, 2013 | Aug 2, 2020 | Common Stock | 7,128 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $33.56 to $33.573. The price reported reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transactions were effected.
- F2As of August 30, 2016, the reporting person had a balance of $161,665.30 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.