-----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, NXvghShzWW81oUaIHoVe+jJE7deTbe0PB4K5JtKUMoHTs23f4+JpRJjn9SPHEvhy RMEXG2Saf/WZQMIVUtGuAQ== 0000889812-00-000719.txt : 20000214 0000889812-00-000719.hdr.sgml : 20000214 ACCESSION NUMBER: 0000889812-00-000719 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000211 GROUP MEMBERS: D.E. SHAW SECURITIES, L.P. GROUP MEMBERS: DAVID E. SHAW GROUP MEMBERS: SHAW D E INVESTMENTS LP 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 13G/A SEC ACT: SEC FILE NUMBER: 005-10566 FILM NUMBER: 537018 BUSINESS ADDRESS: STREET 1: 333 CONTINENTAL BLVD CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 3102522000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SHAW D E INVESTMENTS LP CENTRAL INDEX KEY: 0000933203 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133470777 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 120 W 45TH ST 39TH FL. STREET 2: TOWER 45 CITY: NEW Y ORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2124780000 MAIL ADDRESS: STREET 1: 120 W 45TH ST 39TH FL STREET 2: TOWER 45 CITY: NEW YORK STATE: NY ZIP: 10036 SC 13G/A 1 AMENDMENT NO. 2 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Mattel Inc. - -------------------------------------------------------------------------------- (Name of Issuer) 4.125% 7/1/2000 Series C, Preferred Stock, Par Value $.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 577081706 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 ("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). CUSIP No. 577081706 13G ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON D. E. Shaw Investments, L.P. 13-3470777 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [x] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ NUMBER OF 5 SOLE VOTING POWER -0- SHARES _________________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER -0- OWNED BY _________________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER -0- REPORTING _________________________________________________________________ PERSON 8 SHARED DISPOSITIVE POWER -0- WITH ________________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ________________________________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* ________________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0 ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON* BD ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 577081706 13G ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON D. E. Shaw Securities, L.P. 13-3497780 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [x] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ NUMBER OF 5 SOLE VOTING POWER -0- SHARES _________________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER -0- OWNED BY _________________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER -0- REPORTING _________________________________________________________________ PERSON 8 SHARED DISPOSITIVE POWER -0- WITH ________________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ________________________________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* ________________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0 ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON* BD _______________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 577081706 13G ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David E. Shaw ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [x] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States ________________________________________________________________________________ NUMBER OF 5 SOLE VOTING POWER -0- SHARES _________________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER -0- OWNED BY _________________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER -0- REPORTING _________________________________________________________________ PERSON 8 SHARED DISPOSITIVE POWER -0- WITH ________________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ________________________________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* ________________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0 ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT ________________________________________________________________________________ Item 1. (a) Name of Issuer: Mattel Inc. (the "Company") (b) Address of Issuer's Principal Executive Offices: 333 Continental Blvd. El Segundo, CA 90245 ________________________________________________________________________________ Item 2. (a) Name of Person Filing: D. E. Shaw Investments, L.P. ("Investments") D. E. Shaw Securities, L.P. ("Securities") David E. Shaw ("David Shaw") (b) Address of Principal Business Office: 120 West 45th Street 39th Floor, Tower 45 New York, NY 10036 (c) Citizenship: Investments is a limited partnership organized under the laws of the State of Delaware. Securities is a limited partnership organized under the laws of the State of Delaware. David Shaw is a citizen of the United States (d) Title of Class of Securities: 4.125% 7/1/2000 Series C, Preferred Stock, Par Value $.01 per share (e) CUSIP Number: 577081706 ________________________________________________________________________________ Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [x] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G) (h) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) ________________________________________________________________________________ Item 4. Ownership. (a) Amount Beneficially Owned: Investments: -0- Securities: -0- David Shaw: -0- (b) Percent of Class: Investments: -0- Securities: -0- David Shaw: -0- (c) Number of Shares as to which such person has: (i) Sole power to vote or direct the vote Investments: -0- Securities: -0- David Shaw: -0- (ii) Shared power to vote or direct the vote Investments: -0- Securities: -0- David Shaw: -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. No person other than each respective owner and general partner referred to herein is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds of the sale of, the Shares. ________________________________________________________________________________ Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. Not applicable ________________________________________________________________________________ Item 8. Identification and Classification of Members of the Group. Not applicable ________________________________________________________________________________ Item 9. Notice of Dissolution of Group. Not applicable ________________________________________________________________________________ Item 10. Certification. By signing below D.E. Shaw Investments, L.P., D.E. Shaw Securities, L.P., and David E. Shaw certify that, to the best of their knowledge and belief, the securities referred to above were acquired in the ordinary course of business, and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such 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. February 15, 2000 D.E. SHAW INVESTMENTS, L.P. By: D.E. SHAW & CO., L.P. General Partner By: /s/ Stuart Steckler ------------------- (Signature) Stu Steckler/ Managing Director (Name/Title) D.E. SHAW SECURITIES, L.P. By: D.E. SHAW & CO., L.P. General Partner By: /s/ Stuart Steckler ------------------- (Signature) Stuart Steckler/ Managing Director (Name/Title) DAVID E. SHAW /s/ David E. Shaw ------------------- (Signature) After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete, and correct. A power of attorney, dated January 4, 1997, granted by David Shaw in favor of Stuart Steckler, is attached hereto. February 15, 2000 D.E. Shaw Investments, L.P. By: D.E. Shaw & Co., L.P. as General Partner By: /s/ Stuart Steckler ---------------------- Stuart Steckler Managing Director D.E. Shaw Securities, L.P. By: D.E. Shaw & Co., L.P. as General Partner By: /s/ Stuart Steckler ---------------------- Stuart Steckler Managing Director David E. Shaw By: /s/ Stuart Steckler ---------------------- Stuart Steckler Attorney-in-Fact for David E. Shaw POWER OF ATTORNEY FOR CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 I, DAVID E. SHAW, hereby make, constitute and appoint each of: Lou Salkind, Stu Steckler, Anne Dinning and Danny Fishbane, acting individually, as my agent and attorney-in-fact, with full power of substitution, for the purpose of, from time to time, executing in my name, my individual capacity and/or my capacity as President of D.E. Shaw & Co., Inc. (acting for itself or as the general partner of D.E. Shaw & Co., L.P.) all documents, certificates, instruments, statements, other filings and amendments to the foregoing (collectively, "documents") determined by such person to be necessary or appropriate to comply with ownership or control-person reporting requirements imposed by any United States or non-United States governmental or regulatory authority, including without limitation Forms 3, 4, 5, 13D, 13F and 13G required to be filed with the Securities and Exchange Commission; and delivering, furnishing or filing any such documents with the appropriate governmental or regulatory authority. Any such determination shall be conclusively evidenced by such person's execution and delivery, furnishing or filing of the applicable document. This power of attorney shall be valid from the date hereof. IN WITHNESS WHEREOF, I have executed this instrument as of the date set forth below. Date: January 14, 1997 - ------------------------------------ /s/ David E. Shaw - ------------------------------------ David E. Shaw New York, New York -----END PRIVACY-ENHANCED MESSAGE-----