0001185185-23-000007.txt : 20230105 0001185185-23-000007.hdr.sgml : 20230105 20230105170416 ACCESSION NUMBER: 0001185185-23-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221025 FILED AS OF DATE: 20230105 DATE AS OF CHANGE: 20230105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERMAN STEPHEN G CENTRAL INDEX KEY: 0001275342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35448 FILM NUMBER: 23512337 MAIL ADDRESS: STREET 1: 22619 PACIFIC COAST HWY CITY: MALIBU STATE: CA ZIP: 90265 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JAKKS PACIFIC INC CENTRAL INDEX KEY: 0001009829 STANDARD INDUSTRIAL CLASSIFICATION: GAMES, TOYS & CHILDREN'S VEHICLES (NO DOLLS & BICYCLES) [3944] IRS NUMBER: 954527222 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2951 28TH STREET CITY: SANTA MONICA STATE: CA ZIP: 90405 BUSINESS PHONE: 424-268-9444 MAIL ADDRESS: STREET 1: 2951 28TH STREET CITY: SANTA MONICA STATE: CA ZIP: 90405 4 1 ownership.xml X0306 4 2022-10-25 0 0001009829 JAKKS PACIFIC INC JAKK 0001275342 BERMAN STEPHEN G C/O JAKKS PACIFIC, INC. 2951 28TH STREET SANTA MONICA CA 90405 1 1 0 0 CEO, President and Secretary Common Stock 2023-01-01 4 M 0 23810 17.49 A 80106 D Common Stock 2023-01-01 4 M 0 13204 17.49 A 93310 D Common Stock 2023-01-01 4 M 0 21356 17.49 A 114666 D Common Stock 2023-01-01 4 M 0 71405 17.49 A 186071 D Common Stock 2023-01-01 4 F 0 9199 17.49 D 176872 D Common Stock 2023-01-01 4 F 0 5344 17.49 D 171528 D Common Stock 2023-01-01 4 F 0 8527 17.49 D 163001 D Common Stock 2023-01-01 4 F 0 28635 17.49 D 134366 D Restricted Stock Unit ("RSU") 2023-01-01 4 M 0 23810 17.49 D Common Stock 23810 0 D Restricted Stock Unit ("RSU") 2023-01-01 4 M 0 13204 17.49 D Common Stock 13204 13204 D Restricted Stock Unit ("RSU") 2023-01-01 4 M 0 21356 17.49 D Common Stock 21356 42711 D Restricted Stock Unit ("RSU") 2023-01-01 4 M 0 71405 17.49 D Common Stock 71405 142813 D Restricted Stock Unit ("RSU") 2023-01-01 4 A 0 200114 17.49 D Common Stock 200114 200114 D Restricted Stock Unit ("RSU") 2022-10-25 4 A 0 183748 19.32 D Common Stock 183748 183748 D Vested according to the terms of the RSU described in a previous filing. Certain of the shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors. Represents the closing price of the Company's common stock for the trading day preceding the date of vest, as reported by NASDAQ. Represents the number of shares surrendered by the Holder in order to satisfy a tax withholding obligation, as permitted by the terms of a previously reported Restricted Stock Unit Agreement by and between the Holder and the Issuer and as approved by the Compensation Committee of the Issuer's Board of Directors. Issued under the Company's 2002 Stock award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred or otherwise encumbered prior to vesting. RSUs will vest in 3 equal annual installments commencing on the first anniversary of the date of the grant and on the second and third anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest. Represents the closing price of the Company's common stock for the trading day preceding the date of grant, as reported by NASDAQ. Does not include additional RSUs previously granted and reported with different vesting terms. RSUs will vest in 2 equal annual installments commencing on October 25, 2025 and October 25, 2026. The Reporting Person must be employed by Issuer for an RSU to vest. All numbers have been adjusted to reflect the 1-for-10 reverse stock split that was effective July 9, 2020. /s/ Stephen G. Berman 2023-01-05