-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Oy0JUurvyITVj9p7QvLl7UIwzEEP2ue1Adaa5JBAN796dDywHRPFbu/b42IVE8MY axD6ziv2cBuBXiBU0yNy4Q== 0000009749-98-000083.txt : 19980522 0000009749-98-000083.hdr.sgml : 19980522 ACCESSION NUMBER: 0000009749-98-000083 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980521 SROS: AMEX SROS: NYSE SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-10566 FILM NUMBER: 98629829 BUSINESS ADDRESS: STREET 1: 333 CONTINENTAL BLVD CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 3102522000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 130 LIBERTY STREET CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 130 LIBERTY STREET CITY: NEW YORK STATE: NY ZIP: 10006 FORMER COMPANY: FORMER CONFORMED NAME: BANKERS TRUST NEW YORK CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13D 1 MATTEL, INC. 13-D FILING SECURITIES AND EXCHANGE COMMISSION Washington,D.C. 20549 SCHEDULE 13G Information to Be Included in Statements Filed Pursuant to Rules 13d-1 (b) (c) , and (d) and amendments thereto filed pursuant to Rule 13d- 2(b) (Amendment No. )* Mattel, Inc. _______________________________________ NAME OF ISSUER: $0.4125 Depositary Shares, each representing one- twenty-fifth of a share of Series C Mandatorily Convertible Redeemable Preferred Stock _______________________________________ TITLE OF CLASS OF SECURITIES 577081706 _______________________________________ CUSIP NUMBER May 14, 1998 _______________________________________________ Date of Event Which Requires Filing this Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: (X) Rule 13d-1c *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 6 Pages CUSIP No. 577081706 Page 2 of 6 Pages 1.NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust Corporation and its wholly-owned subsidiary BT Holdings (New York), Inc. 13- 6180473 2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] 3.SEC USE ONLY 4.CITIZENSHIP OR PLACE OF ORGANIZATION Bankers Trust Corporation and BT Holdings (New York), Inc. are New York Corporations. NUMBER OF 5. SOLE VOTING POWER SHARES Bankers Trust Corporation 700,000 shares BT Holdings (New York), Inc. 500,000 shares 1,200,000 BENEFICIALLY 6. SHARED VOTING POWER OWNED BY Bankers Trust Corporation 0 shares BT Holdings (New York), Inc. 0 shares 0 EACH 7. SOLE DISPOSITIVE POWER REPORTING Bankers Trust Corporation 700,000 shares BT Holdings(New York), Inc. 500,000 shares 1,200,000 PERSON 8. SHARED DISPOSITIVE POWER WITH Bankers Trust Corporation 0 shares BT Holdings (New York),Inc. 0 shares 0 9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Bankers Trust Corporation 700,000 shares BT Holdings (New York),Inc. 500,000 shares 1,200,000 10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES * [ ] CUSIP No. 577081706 Page 3 of 6 Pages 11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Bankers Trust Corporation 3.62% BT Holdings (New York),Inc. 2.59% 6.21% 12.TYPE OF REPORTING PERSON * Bankers Trust Corporation - HC BT Holdings (New York),Inc. - CO Item 1(a) NAME OF ISSUER: Mattel, Inc. Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 333 Continental Boulevard El Segundo, California 90245 Item 2(a) NAME OF PERSON FILING: Bankers Trust Corporation and its wholly- owned subsidiary BT Holdings (New York), Inc. Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 130 Liberty Street New York, New York 10006 Item 2(c) CITIZENSHIP: Bankers Trust Corporation and BT Holdings (New York), Inc. are New York Corporations. Item 2(d) TITLE OF CLASS OF SECURITIES: $0.4125 Depositary Shares, each representing one-twenty-fifth of a share of Series C Mandatorily Convertible Redeemable Preferred Stock of Mattel, Inc. Item 2(e) CUSIP NUMBER: 577081706 CUSIP No. 577081706 Page 4 of 6 Pages Item 3 THE PERSON FILING IS A: For Bankers Trust Corporation (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) Item 4 OWNERSHIP: (a) Amount Beneficially Owned: Bankers Trust Corporation 700,000 shares BT Holdings (New York), Inc. 500,000 shares 1,200,000 (b) PERCENT OF CLASS: Bankers Trust Corporation 3.62% BT Holdings (New York),Inc. 2.59% 6.21% (c) Number of shares as to which the following have: (i) sole power to vote or to direct the vote - Bankers Trust Corporation 700,000 shares BT Holdings (New York), Inc. 500,000 shares 1,200,000 (ii) shared power to vote or to direct the vote - Bankers Trust Corporation 0 shares BT Holdings (New York), Inc. 0 shares 0 (iii) sole power to dispose or to direct the disposition of - Bankers Trust Corporation 700,000 shares BT Holdings (New York), Inc. 500,000 shares 1,200,000 CUSIP No. 577081706 Page 5 of 6 Pages (iv) shared power to dispose or to direct the disposition of - Bankers Trust Corporation 0 shares BT Holdings (New York), Inc. 0 shares 0 Item 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not Applicable Item 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable Item 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: See Item 3 above and Exhibit to Item 7. Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not Applicable Item 9 NOTICE OF DISSOLUTION OF GROUP: Not Applicable CUSIP No. 577081706 Page 6 of 6 Pages Item 10 CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE: After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: as of May 20, 1998 Signature: Bankers Trust Corporation By: /s/James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary Signature: BT Holdings (New York), Inc. By: /s/ Gordon S. Calder, Jr. Name: Gordon S. Calder, Jr. Title: Secretary EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust Corporation to BT Holdings (New York), Inc. is shown below: Bankers Trust Corporation | 100% | BT Holdings (New York), Inc. -----END PRIVACY-ENHANCED MESSAGE-----