0001523711-11-000007.txt : 20110802 0001523711-11-000007.hdr.sgml : 20110802 20110802193241 ACCESSION NUMBER: 0001523711-11-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110731 FILED AS OF DATE: 20110802 DATE AS OF CHANGE: 20110802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TOPHAM HERBERT SCOTT CENTRAL INDEX KEY: 0001279654 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 111004970 MAIL ADDRESS: STREET 1: 333 CONTINENTAL BLVD STREET 2: MATTEL INC 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 X0304 4 2011-07-31 0000063276 MATTEL INC /DE/ MAT 0001279654 TOPHAM HERBERT SCOTT MATTEL, INC. 333 CONTINENTAL BLVD. EL SEGUNDO CA 90245 0 1 0 0 SVP and Corporate Controller Common stock 2011-07-31 4 M 0 3839 A 27213 D Common stock 2011-07-31 4 F 0 1793 26.66 D 25420 D Common stock 2011-08-01 4 M 0 3662 A 29082 D Common stock 2011-08-01 4 F 0 1710 26.375 D 27372 D Common stock 1067 I In 401(k) Restricted Stock Units 2011-07-31 4 M 0 3839 0 D Common stock 3839 3840 D Restricted Stock Units 2011-08-01 4 M 0 3662 0 D Common stock 3662 0 D Stock option - right to buy 26.375 2011-08-01 4 A 0 23038 0 A 2021-08-01 Common stock 23038 23038 D Restricted Stock Units 2011-08-01 4 A 0 5118 0 A Common stock 5118 5118 D As reported on a Form 4 dated August 1, 2009 and filed on August 3, 2009, the reporting person received a grant of 7,679 Restricted Stock Units ("RSUs" or "Units") on July 31, 2009. 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 July 31, 2011, the first 50% of these RSUs vested, resulting in the issuance of 3,839 shares of Mattel common stock. Pursuant to the terms of the July 31, 2009 RSU grant, 1,793 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 7,324 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, 2011, the final 50% of these RSUs vested, resulting in the issuance of 3,662 shares of Mattel common stock. Pursuant to the terms of the August 1, 2008 RSU grant, 1,710 shares of Mattel common stock were automatically withheld at vesting to cover required tax withholding. As of August 1, 2011, the reporting person had a balance of $28,137 in the Mattel Stock Fund of Mattel's 401(k) plan, the Personal Investment Plan ("PIP"). The assets in the Mattel Stock Fund include cash amounts as well as shares of Mattel common stock. The number of shares has been calculated by the plan administrator for the PIP. The option was granted on August 1, 2011 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 1, 2011 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 H. Scott Topham 2011-08-02