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