SEC Form 4 · accession 0001523711-18-000006
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Dickson
Officer — Pres & Chief Operating Officer
Period of report
Jan 29, 2018
Accepted (ET)
Jan 30, 2018 · 4:10 pm EST
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 | Jan 29, 2018 | M | 9,481 | — | A | 70,996 | D | |
| Common StockF2 | Jan 29, 2018 | F | 3,279 | $16.12 | D | 67,717 | D | |
| Common StockF3 | holding | — | — | — | 2,590 | 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 | — | Jan 29, 2018 | M | 9,481 | D | — | — | Common Stock | 9,481 | 0 | D |
Explanation of responses
- F1As reported on a Form 4 dated January 29, 2015 and filed on February 2, 2015, the Reporting Person received a grant of 27,881 Restricted Stock Units ("RSUs" or "Units") on January 29, 2015. The RSUs vest as to 33% of the Units on the first anniversary of the date of grant, 33% of the Units on the second anniversary of the date of grant and as to the remaining 34% of the Units on the third anniversary of the date of grant. On the vesting date, for each Unit vesting, 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 January 29, 2018, the final 34% of these RSUs vested, resulting in the issuance of 9,481 shares of Mattel, Inc. Common Stock.
- F2Pursuant to the terms of the January 29, 2015 RSU grant, 3,279 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding.
- F3As of January 29, 2018, the Reporting Person had a balance of $24,765.73 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.