0001523711-16-000153.txt : 20160803 0001523711-16-000153.hdr.sgml : 20160803 20160803160039 ACCESSION NUMBER: 0001523711-16-000153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160801 FILED AS OF DATE: 20160803 DATE AS OF CHANGE: 20160803 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: NORMILE ROBERT CENTRAL INDEX KEY: 0001194275 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 161803758 MAIL ADDRESS: STREET 1: MATTEL, INC., 333 CONTINENTAL BLVD STREET 2: M1-1518 CITY: EL SEGUNDO STATE: CA ZIP: 90245 4 1 wf-form4_147025442593774.xml FORM 4 X0306 4 2016-08-01 0 0000063276 MATTEL INC /DE/ MAT 0001194275 NORMILE ROBERT 333 CONTINENTAL BOULEVARD EL SEGUNDO CA 90245 0 1 0 0 EVP Chief Legal Officer & Sec Common Stock 2016-08-01 4 M 0 4294 A 105313 D Common Stock 2016-08-01 4 F 0 1614 32.72 D 103699 D Common Stock 2016-08-01 4 M 0 5674 A 109373 D Common Stock 2016-08-01 4 F 0 2133 32.72 D 107240 D Common Stock 14254 I In 401(k) Restricted Stock Units 2016-08-01 4 M 0 4294 0 D Common Stock 4294.0 0 D Restricted Stock Units 2016-08-01 4 M 0 5674 0 D Common Stock 5674.0 5674 D Employee Stock Option - Right to Buy 32.72 2016-08-01 4 A 0 85366 0 A 2026-08-01 Common Stock 85366.0 85366 D Restricted Stock Units 2016-08-01 4 A 0 10697 0 A Common Stock 10697.0 10697 D As reported on a Form 4 dated August 1, 2013 and filed on August 5, 2013, the reporting person received a grant of 8,587 Restricted Stock Units ("RSUs" or "Units") 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, 2016, the remaining 50% of these RSUs vested, resulting in the issuance of 4,294 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the August 1, 2013 RSU grant, 1,614 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. As reported on a Form 4 dated July 31, 2014 and filed on August 4, 2014, the reporting person received a grant of 11,348 RSUs on August 1, 2014. 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, 2016, the first 50% of these RSUs vested, resulting in the issuance of 5,674 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the August 1, 2014 RSU grant, 2,133 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. As of August 1, 2016, the reporting person had a balance of $466,385.22 in the Mattel Stock Fund of Mattel, Inc.'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 1, 2016 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 August 1, 2016 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 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 Robert Normile 2016-08-03