0001523711-16-000159.txt : 20161003 0001523711-16-000159.hdr.sgml : 20161003 20161003163719 ACCESSION NUMBER: 0001523711-16-000159 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161003 DATE AS OF CHANGE: 20161003 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: Gros Richard R CENTRAL INDEX KEY: 0001652411 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 161916139 MAIL ADDRESS: STREET 1: 333 CONTINENTAL BOULEVARD M1-1518 CITY: EL SEGUNDO STATE: CA ZIP: 90245 4 1 wf-form4_147552702619695.xml FORM 4 X0306 4 2016-09-30 0 0000063276 MATTEL INC /DE/ MAT 0001652411 Gros Richard R 333 CONTINENTAL BOULEVARD EL SEGUNDO CA 90245 0 1 0 0 EVP, Chief HR Officer Common Stock 2016-09-30 4 M 0 5092 A 5092 D Common Stock 2016-09-30 4 F 0 1914 30.28 D 3178 D Common Stock 2016-09-30 4 M 0 3134 A 6312 D Common Stock 2016-09-30 4 F 0 1178 30.28 D 5134 D Restricted Stock Units 2016-09-30 4 M 0 5092 0 D Common Stock 5092.0 10340 D Restricted Stock Units 2016-09-30 4 M 0 3134 0 D Common Stock 3134.0 6363 D As reported on a Form 4 dated September 30, 2015 and filed on October 1, 2015, the reporting person received a grant of 15,432 Restricted Stock Units ("RSUs" or "Units") on September 30, 2015. 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) as to 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. On September 30, 2016, the first 33% of these RSUs vested, resulting in the issuance of 5,092 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the September 30, 2015 RSU grant, 1,914 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. As reported on a Form 4 dated September 30, 2015 and filed on October 1, 2015, the reporting person received a grant of 9,497 RSUs on September 30, 2015. 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) as to 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. On September 30, 2016, the first 33% of these RSUs vested, resulting in the issuance of 3,134 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the September 30, 2015 RSU grant, 1,178 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. /s/ Julie Kwok, Attorney-in-Fact for Richard R. Gros 2016-10-03