SEC Form 4 · accession 0001523711-19-000004

· MAT

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

Reporting owner

Officer — EVP Chief Legal Officer & Sec

Period of report

Dec 29, 2018

Accepted (ET)

Jan 2, 2019 · 3:25 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 Stock^F1	Dec 29, 2018	M	8,127	—	A	129,880	D
Common Stock^F2	Dec 29, 2018	F	2,811	$9.94	D	127,069	D
Common Stock^F3	holding	—	—		—	15,291	I	In 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1	—	Dec 29, 2018	M	8,127	D	—	—	Common Stock	8,127	8,128	D

F1As reported on a Form 4 dated December 29, 2017 and filed on January 3, 2018, the Reporting Person received a grant of 16,255 Restricted Stock Units ("RSUs" or "Units") on December 29, 2017. The RSUs vest as to 50% of the Units granted on the first anniversary of the date of grant and as to the remaining 50% of the Units granted on the second 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 December 29, 2018, the first 50% of these RSUs vested, resulting in the issuance of 8,127 shares of Mattel, Inc. Common Stock.
F2Pursuant to the terms of the December 29, 2017 RSU grant, 2,811 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding.
F3As of December 29, 2018, the Reporting Person had a balance of $152,148.73 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.