SEC Form 4 · accession 0001523711-17-000118

· MAT

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

Reporting owner

Officer — Chief Financial Officer

Period of report

Sep 29, 2017

Accepted (ET)

Oct 3, 2017 · 4:54 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000063276

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option - Right to Buy^F1	$15.48	Sep 29, 2017	A	340,909	A	—	Sep 29, 2027	Common Stock	340,909	340,909	D
Employee Stock Option - Right to Buy^F1	$15.48	Sep 29, 2017	A	378,788	A	—	Sep 29, 2027	Common Stock	378,788	378,788	D
Restricted Stock Units^F2,F3	—	Sep 29, 2017	A	58,140	A	—	—	Common Stock	58,140	58,140	D
Restricted Stock Units^F2,F3	—	Sep 29, 2017	A	64,599	A	—	—	Common Stock	64,599	64,599	D
Restricted Stock Units^F2,F3	—	Sep 29, 2017	A	58,140	A	—	—	Common Stock	58,140	58,140	D

F1The option was granted on September 29, 2017 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.
F2The Restricted Stock Units ("RSUs" or "Units") were granted on September 29, 2017 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).
F3The RSUs vest as to (a) 33% of the Units granted on the first anniversary of the date of grant, (b) an additional 33% of the Units granted on the second anniversary of the date of grant, and (c) the remaining 34% of the Units granted 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.