-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CWIbBgNVbruKL4w39rpVphQq5Qoeimh3gOUfBzSMnRJQsW7NNh1ICahRSxMkblqs XOPRL/jpWpb51fXLUJIe5A== 0001454197-10-000028.txt : 20100803 0001454197-10-000028.hdr.sgml : 20100803 20100803181041 ACCESSION NUMBER: 0001454197-10-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100801 FILED AS OF DATE: 20100803 DATE AS OF CHANGE: 20100803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRIEDMAN NEIL CENTRAL INDEX KEY: 0001194266 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 10988860 MAIL ADDRESS: STREET 1: MATTEL, INC., 333 CONTINENTAL BLVD STREET 2: M1-1518 CITY: EL SEGUNDO STATE: CA ZIP: 90245 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MATTEL INC /DE/ CENTRAL INDEX KEY: 0000063276 STANDARD INDUSTRIAL CLASSIFICATION: DOLLS & STUFFED TOYS [3942] IRS NUMBER: 951567322 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 333 CONTINENTAL BLVD CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 3102522000 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2010-08-01 0000063276 MATTEL INC /DE/ MAT 0001194266 FRIEDMAN NEIL MATTEL, INC. 333 CONTINENTAL BLVD. EL SEGUNDO, CA 90245 0 1 0 0 President, Mattel Brands Common stock 2010-08-01 4 M 0 25000 A 95461 D Common stock 2010-08-01 4 F 0 11596 21.16 D 83865 D Common stock 2010-08-01 4 M 0 20345 A 104210 D Common stock 2010-08-01 4 F 0 9437 21.16 D 94773 D Common stock 3780 I In 401(k) Restricted Stock Units 2010-08-01 4 M 0 25000 0 D Common stock 25000 0 D Restricted Stock Units 2010-08-01 4 M 0 20345 0 D Common stock 20345 20345 D Stock option - right to buy 21.50 2010-08-02 4 A 0 174703 0 A 2020-08-02 Common stock 174703 174703 D Restricted Stock Units 2010-08-02 4 A 0 38760 0 A Common stock 38760 38760 D As reported on a Form 4 dated August 1, 2007 and filed on August 3, 2007, the reporting person received a grant of 50,000 Restricted Stock Units ("RSUs" or "Units") on August 1, 2007. The RSUs vest as to 50% of the Units on the second anniversary of the date of grant and as to the remaining 50% of the Units 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 common stock (or, at the election of Mattel, 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 August 1, 2010, the final 50% of these RSUs vested, resulting in the issuance of 25,000 shares of Mattel common stock. Pursuant to the terms of the August 1, 2007 RSU grant, 11,596 shares of Mattel common stock were automatically withheld at vesting to cover required tax withholding. As reported on a Form 4 dated August 1, 2008 and filed on August 5, 2008, the reporting person received a grant of 40,690 RSUs on August 1, 2008. The RSUs vest as to 50% of the Units on the second anniversary of the date of grant and as to the remaining 50% of the Units 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 common stock (or, at the election of Mattel, 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 August 1, 2010, the first 50% of these RSUs vested, resulting in the issuance of 20,345 shares of Mattel common stock. Pursuant to the terms of the August 1, 2008 RSU grant, 9,437 shares of Mattel common stock were automatically withheld at vesting to cover required tax withholding. As of August 2, 2010, the reporting person had a balance of $81,264 in the Mattel Stock Fund of Mattel's 401(k) plan, the Personal Investment Plan ("PIP"). The number of shares has been calculated by the plan administrator for the PIP. The option was granted on August 2, 2010 pursuant to the Mattel, Inc. 2010 Equity and Long-Term Compensation Plan (the "2010 Plan"). The option vests and becomes exercisable with regard to (a) 33% of the shares on the first anniversary of the date of grant, (b) an additional 33% of the shares on the second anniversary of the date of grant, and (c) the remaining 34% of the shares on the third anniversary of the date of grant. The RSUs were granted on August 2, 2010 pursuant to the 2010 Plan. Each Unit represents a contingent right to receive one share of Mattel common stock (or, at the election of Mattel, a cash amount equal to the fair market value of such share). The RSUs are accompanied by dividend equivalent rights. The RSUs vest as to 50% of the Units on the second anniversary of the date of grant and as to the remaining 50% of the Units 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 common stock (or, at the election of Mattel, a cash amount equal to the fair market value of one share of common stock on the date of vesting), subject to tax withholding. /s/ Andrew Paalborg, Attorney-in-Fact for Neil B. Friedman 2010-08-03 -----END PRIVACY-ENHANCED MESSAGE-----