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