0001523711-14-000002.txt : 20140106 0001523711-14-000002.hdr.sgml : 20140106 20140106175146 ACCESSION NUMBER: 0001523711-14-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140103 FILED AS OF DATE: 20140106 DATE AS OF CHANGE: 20140106 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: 14511226 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 2014-01-03 0000063276 MATTEL INC /DE/ MAT 0001194281 STOCKTON BRYAN MATTEL, INC. 333 CONTINENTAL BLVD. EL SEGUNDO CA 90245 1 1 0 0 Chief Executive Officer Common Stock 2014-01-03 4 M 0 13511 A 146186 D Common Stock 2014-01-03 4 F 0 5216 46.87 D 140970 D Common Stock 2014-01-04 4 M 0 19779 A 160749 D Common Stock 2014-01-04 4 F 0 9179 46.87 D 151570 D Common Stock 7138 I In 401(k) Restricted Stock Units 2014-01-03 4 M 0 13511 0 D Common Stock 13511 13511 D Restricted Stock Units 2014-01-04 4 M 0 19779 0 D Common Stock 19779 0 D As reported on a Form 4 dated January 3, 2012 and filed January 4, 2012, the reporting person received a grant of 27,022 Restricted Stock Units ("RSUs" or "Units") on January 3, 2012. 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, Inc. ("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 January 3, 2014, the initial 50% of these RSUs vested, resulting in the issuance of 13,511 shares of Mattel common stock. Pursuant to the terms of the January 3, 2012 RSU grant, 5,216 shares of Mattel common stock were automatically withheld at vesting to cover required tax withholding. As reported on a Form 4 dated January 4, 2011 and filed January 6, 2011, the reporting person received a grant of 39,557 RSUs on January 4, 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 January 4, 2014, the remaining 50% of these RSUs vested, resulting in the issuance of 19,779 shares of Mattel common stock. Pursuant to the terms of the January 4, 2011 RSU grant, 9,179 shares of Mattel common stock were automatically withheld at vesting to cover required tax withholding. As of January 4, 2014 the reporting person had a balance of $334,546.16 in the Mattel Stock Fund of Mattel's 401(k) Personal Investiment Plan ("PIP"). The number of shares has been calculated by the plan administrator for the PIP. /s/ Andrew Paalborg, Attorney-in-Fact for Bryan G. Stockton 2014-01-06