0001523711-15-000054.txt : 20150804 0001523711-15-000054.hdr.sgml : 20150804 20150804161343 ACCESSION NUMBER: 0001523711-15-000054 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150731 FILED AS OF DATE: 20150804 DATE AS OF CHANGE: 20150804 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: FARR KEVIN M CENTRAL INDEX KEY: 0001194262 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 151025704 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 2015-07-31 0000063276 MATTEL INC /DE/ MAT 0001194262 FARR KEVIN M MATTEL, INC. 333 CONTINENTAL BOULEVARD EL SEGUNDO CA 90245 0 1 0 0 Chief Financial Officer Common Stock 2015-08-01 4 M 0 9710 A 218935 D Common Stock 2015-08-01 4 F 0 3650 23.21 D 215285 D Common Stock 2015-08-01 4 M 0 7904 A 223189 D Common Stock 2015-08-01 4 F 0 2971 23.21 D 220218 D Common Stock 15457 I In 401(k) Restricted Stock Units 2015-08-01 4 M 0 9710 0 D Common Stock 9710 0 D Restricted Stock Units 2015-08-01 4 M 0 7904 0 D Common Stock 7904 7904 D Employee Stock Option - Right to Buy 23.21 2015-07-31 4 A 0 323834 0 A 2025-07-31 Common Stock 323834 323834 D Restricted Stock Units 2015-07-31 4 A 0 26928 0 A Common Stock 26928 26928 D As reported on a Form 4 dated August 1, 2012 and filed on August 3, 2012, the reporting person received a grant of 19,419 Restricted Stock Units ("RSUs" or "Units") on August 1, 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. common stock (or, at the election of Mattel, Inc., 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, 2015, the remaining 50% of these RSUs vested, resulting in the issuance of 9,710 shares of Mattel, Inc. common stock. Pursuant to the terms of the August 1, 2012 RSU grant, 3,650 shares of Mattel, Inc. common stock were automatically withheld at vesting to cover required tax withholding. As reported on a Form 4 dated August 1, 2013 and filed on August 5, 2013, the reporting person received a grant of 15,808 RSUs on August 1, 2013. 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. common stock (or, at the election of Mattel, Inc., 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, 2015, the first 50% of these RSUs vested, resulting in the issuance of 7,904 shares of Mattel, Inc. common stock. Pursuant to the terms of the August 1, 2013 RSU grant, 2,971 shares of Mattel, Inc. common stock were automatically withheld at vesting to cover required tax withholding. As of July 31, 2015, the reporting person had a balance of $358,761.86 in the Mattel Stock Fund of Mattel, Inc.'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 July 31, 2015 pursuant to the Mattel, Inc. Amended and Restated 2010 Equity and Long-Term Compensation Plan (the "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 RSUs were granted on July 31, 2015 pursuant to the Plan. Each Unit represents a contingent right to receive one share of Mattel, Inc. common stock (or, at the election of Mattel, Inc., 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 (a) 33% of the Units on the first anniversary of the date of grant, (b) an additional 33% of the Units on the second anniversary of the date of grant, and (c) the remaining 34% 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. common stock (or, at the election of Mattel, Inc., 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/ Julie Kwok, Attorney-in-Fact for Kevin M. Farr 2015-08-04