0001523711-17-000108.txt : 20170803 0001523711-17-000108.hdr.sgml : 20170803 20170803164525 ACCESSION NUMBER: 0001523711-17-000108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170801 FILED AS OF DATE: 20170803 DATE AS OF CHANGE: 20170803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Walker Geoffrey H CENTRAL INDEX KEY: 0001571977 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 171005684 MAIL ADDRESS: STREET 1: 333 CONTINENTAL BOULEVARD CITY: EL SEGUNDO STATE: CA ZIP: 90245 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 4 1 wf-form4_150179311207817.xml FORM 4 X0306 4 2017-08-01 0 0000063276 MATTEL INC /DE/ MAT 0001571977 Walker Geoffrey H 333 CONTINENTAL BOULEVARD EL SEGUNDO CA 90245 0 1 0 0 EVP, Chief Strategic Tech Off Common Stock 2017-08-01 4 M 0 4728 A 40864 D Common Stock 2017-08-01 4 F 0 1777 19.72 D 39087 D Common Stock 2017-08-01 4 M 0 3530 A 42617 D Common Stock 2017-08-01 4 F 0 1327 19.72 D 41290 D Common Stock 8444 I In 401(k) Restricted Stock Units 2017-08-01 4 M 0 4728 0 D Common Stock 4728.0 0 D Restricted Stock Units 2017-08-01 4 M 0 3530 0 D Common Stock 3530.0 7167 D Employee Stock Option - Right to Buy 19.72 2017-08-01 4 A 0 74932 0 A 2027-08-01 Common Stock 74932.0 74932 D Restricted Stock Units 2017-08-01 4 A 0 13945 0 A Common Stock 13945.0 13945 D As reported on a Form 4 dated August 1, 2014 and filed on August 4, 2014, the Reporting Person received a grant of 9,456 RSUs on August 1, 2014. The Restricted Stock Units ("RSUs" or "Units") 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, 2017, the remaining 50% of these RSUs vested, resulting in the issuance of 4,728 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the August 1, 2014 RSU grant, 1,777 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, 2016 and filed on August 3, 2016, the Reporting Person received a grant of 10,697 RSUs on August 1, 2016. The RSUs vest as to (a) 33% of the Units granted on the first anniversary of the date of grant, (b) an additional 33% of the Units granted on the second anniversary of the date of grant, and (c) the remaining 34% of the Units granted 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, 2017, the first 33% of these RSUs vested, resulting in the issuance of 3,530 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the August 1, 2016 RSU grant, 1,327 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. As of August 1, 2017, the Reporting Person had a balance of $166,510.80 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, 2017 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, 2017 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 granted on the first anniversary of the date of grant, (b) an additional 33% of the Units granted on the second anniversary of the date of grant, and (c) the remaining 34% of the Units granted 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 Geoffrey H. Walker 2017-08-03