0001523711-13-000065.txt : 20130805 0001523711-13-000065.hdr.sgml : 20130805 20130805165127 ACCESSION NUMBER: 0001523711-13-000065 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130801 FILED AS OF DATE: 20130805 DATE AS OF CHANGE: 20130805 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STOCKTON BRYAN CENTRAL INDEX KEY: 0001194281 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 131010769 MAIL ADDRESS: STREET 1: MATTEL, INC., 333 CONTINENTAL BLVD STREET 2: M1-1518 CITY: EL SEGUNDO STATE: CA ZIP: 90245 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-08-01 0000063276 MATTEL INC /DE/ MAT 0001194281 STOCKTON BRYAN MATTEL, INC. 333 CONTINENTAL BOULEVARD EL SEGUNDO CA 90245 1 1 0 0 Chief Executive Officer Common Stock 2013-08-01 4 M 0 15798 A 136471 D Common Stock 2013-08-01 4 F 0 8244 42.70 D 128227 D Common Stock 2013-08-02 4 M 0 9303 A 137530 D Common Stock 2013-08-02 4 F 0 4855 42.84 D 132675 D Common Stock 7038 I In 401(k) Employee Stock Option - Right to Buy 42.70 2013-08-01 4 A 0 208570 0 A 2023-08-01 Common Stock 208570 208570 D Restricted Stock Units 2013-08-01 4 A 0 42935 0 A Common Stock 42935 42935 D Restricted Stock Units 2013-08-01 4 M 0 15798 0 D Common Stock 15798 15798 D Restricted Stock Units 2013-08-02 4 M 0 9303 0 D Common Stock 9303 0 D As reported on a Form 4 dated July 31, 2011 and filed on August 2, 2011, the reporting person received a grant of 31,596 Restricted Stock Units ("RSUs" or "Units") on August 1, 2011. 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, 2013, the first 50% of these RSUs vested, resulting in the issuance of 15,798 shares of Mattel common stock. Pursuant to the terms of the August 1, 2011 RSU grant, 8,244 shares of Mattel common stock were automatically withheld at vesting to cover required tax withholding. As reported on a Form 4 dated August 1, 2010 and filed on August 3, 2010, the reporting person received a grant of 18,605 Restricted Stock Units ("RSUs" or "Units") on August 2, 2010. 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 2, 2013, the remaining 50% of these RSUs vested, resulting in the issuance of 9,303 shares of Mattel common stock. Pursuant to the terms of the August 2, 2010 RSU grant, 4,855 shares of Mattel common stock were automatically withheld at vesting to cover required tax withholding. As of August 2, 2013, the reporting person had a balance of $301,510.91 in the Mattel Stock Fund of Mattel's 401(k) Personal Investment Plan ("PIP"). The number of shares has been calculated by the plan administrator for the PIP. The option was granted on August 1, 2013 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 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. The Restricted Stock Units ("RSUs" or "Units") were granted on August 1, 2013 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 Bryan G. Stockton 2013-08-05