SEC Form 4 · accession 0001523711-19-000022
MATTEL INC /DE/ · MAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roberto J Isaias
Officer — EVP & Chief Supply Chain Offr
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 3:15 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 | Feb 28, 2019 | M | 1,458 | — | A | 1,458 | 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 Units - Granted 02/28/2017F1 | — | Feb 28, 2019 | M | 1,458 | D | — | — | Common Stock | 1,458 | 0 | D |
| Employee Stock Option - Right to BuyF2 | $14.42 | Feb 28, 2019 | A | 22,978 | A | — | Feb 28, 2029 | Common Stock | 22,978 | 22,978 | D |
| Restricted Stock UnitsF3,F4 | — | Feb 28, 2019 | A | 8,669 | A | — | — | Common Stock | 8,669 | 8,669 | D |
Explanation of responses
- F1As reported on a Form 3 dated February 18, 2019 and filed on February 28, 2019, the Reporting Person received a grant of 2,915 Restricted Stock Units ("RSUs" or "Units") on February 28, 2017. The RSUs vested 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 received one share of Mattel, Inc. Common Stock, subject to tax withholding. On February 28, 2019, the remaining 50% of these RSUs vested, resulting in the issuance of 1,458 shares of Mattel, Inc. Common Stock.
- F2The option was granted on February 28, 2019 pursuant to the Mattel, Inc. Amended and Restated 2010 Equity and Long-Term Compensation Plan, as amended (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.
- F3The RSUs were granted on February 28, 2019 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).
- F4The 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.