SEC Form 4 · accession 0001523711-17-000112
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary Margaret Hastings Georgiadis
Officer — CEO · Director
Period of report
Sep 8, 2017
Accepted (ET)
Sep 11, 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 | Sep 8, 2017 | M | 41,167 | — | A | 177,641 | D | |
| Common StockF2 | Sep 8, 2017 | F | 21,481 | $15.28 | D | 156,160 | D |
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 | — | Sep 8, 2017 | M | 41,167 | D | — | — | Common Stock | 41,167 | 205,832 | D |
Explanation of responses
- F1As reported on a Form 4 dated February 8, 2017, and filed on February 10, 2017, the Reporting Person received a grant of 494,001 Restricted Stock Units ("RSUs" or "Units") on February 8, 2017. The RSUs vest in equal installments on each monthly anniversary of the date of grant and will be 100% vested on the first 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 September 8, 2017, the seventh installment of these RSUs vested, resulting in the issuance of 41,167 shares of Mattel, Inc. Common Stock.
- F2Pursuant to the terms of the February 8, 2017 RSU grant, 21,481 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding.