SEC Form 4 · accession 0001523711-17-000092
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
Jul 31, 2017
Accepted (ET)
Aug 1, 2017 · 4:26 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 | Jul 31, 2017 | M | 4,976 | — | A | 38,006 | D | |
| Common StockF2 | Jul 31, 2017 | F | 1,870 | $20.02 | D | 36,136 | D | |
| Common StockF3 | holding | — | — | — | 8,441 | 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 | — | Jul 31, 2017 | M | 4,976 | D | — | — | Common Stock | 4,976 | 5,128 | D |
Explanation of responses
- F1As reported on a Form 4 dated July 31, 2015 and filed on August 4, 2015, the Reporting Person received a grant of 15,080 Restricted Stock Units ("RSUs" or "Units") on July 31, 2015. The 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) as to 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. On July 31, 2017, the second 33% of these RSUs vested, resulting in the issuance of 4,976 shares of Mattel, Inc. Common Stock.
- F2Pursuant to the terms of the July 31, 2015 RSU grant, 1,870 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding.
- F3As of July 31, 2017, the Reporting Person had a balance of $168,997.70 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.