0001523711-23-000042.txt : 20230502 0001523711-23-000042.hdr.sgml : 20230502 20230502212337 ACCESSION NUMBER: 0001523711-23-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230428 FILED AS OF DATE: 20230502 DATE AS OF CHANGE: 20230502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dickson Richard CENTRAL INDEX KEY: 0001482551 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 23881400 MAIL ADDRESS: STREET 1: C/O MATTEL, INC. STREET 2: 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_168307700368894.xml FORM 4 X0407 4 2023-04-28 0 0000063276 MATTEL INC /DE/ MAT 0001482551 Dickson Richard 333 CONTINENTAL BOULEVARD EL SEGUNDO CA 90245 0 1 0 0 Pres & Chief Operating Officer 0 Common Stock 2023-04-28 4 M 0 22907 A 659409 D Common Stock 2023-04-28 4 F 0 11390 18 D 648019 D Common Stock 8413 I In 401(k) Restricted Stock Units 2023-04-28 4 M 0 22907 0 D Common Stock 22907.0 46509 D Restricted Stock Units 2023-04-28 4 A 0 126042 0 A Common Stock 126042.0 126042 D Employee Stock Option - Right to Buy 18.0 2023-04-28 4 A 0 84877 0 A 2033-04-28 Common Stock 84877.0 84877 D As reported on a Form 4 dated April 29, 2022 and filed on May 3, 2022, the Reporting Person received a grant of 69,416 Restricted Stock Units ("RSUs" or "Units") on April 29, 2022. 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, subject to tax withholding. On April 28, 2023, the first 33% of these RSUs vested, resulting in the issuance of 22,907 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the April 29, 2022 RSU grant, 11,390 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. As of March 17, 2023, the Reporting Person had a balance of $136,713.32 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 third-party administrator for the PIP. The RSUs were granted on April 28, 2023 pursuant to the Mattel, Inc. Amended and Restated 2010 Equity and Long-Term Compensation Plan, as amended (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. The option was granted on April 28, 2023 pursuant to 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. /s/ Tiffani Magri, Attorney-in-Fact for Richard Dickson 2023-05-02