0001523711-18-000056.txt : 20180803
0001523711-18-000056.hdr.sgml : 20180803
20180803150504
ACCESSION NUMBER: 0001523711-18-000056
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180801
FILED AS OF DATE: 20180803
DATE AS OF CHANGE: 20180803
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: 18991544
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_153332308906441.xml
FORM 4
X0306
4
2018-08-01
0
0000063276
MATTEL INC /DE/
MAT
0001482551
Dickson Richard
333 CONTINENTAL BOULEVARD
EL SEGUNDO
CA
90245
0
1
0
0
Pres & Chief Operating Officer
Common Stock
2018-08-01
4
M
0
10085
A
106098
D
Common Stock
2018-08-01
4
F
0
5001
15.78
D
101097
D
Common Stock
2147
I
In 401(k)
Restricted Stock Units
2018-08-01
4
M
0
10085
0
D
Common Stock
10085.0
10392
D
Restricted Stock Units
2018-08-01
4
A
0
71293
0
A
Common Stock
71293.0
71293
D
Employee Stock Option - Right to Buy
15.78
2018-08-01
4
A
0
205292
0
A
2028-08-01
Common Stock
205292.0
205292
D
As reported on a Form 4 dated August 1, 2016 and filed on August 3, 2016, the Reporting Person received a grant of 30,562 Restricted Stock Units ("RSUs" or "Units") 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, 2018, the second 33% of these RSUs vested, resulting in the issuance of 10,085 shares of Mattel, Inc. Common Stock.
Pursuant to the terms of the August 1, 2016 RSU grant, 5,001 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding.
As of August 1, 2018, the Reporting Person had a balance of $33,875.74 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 RSUs were granted on August 1, 2018 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 August 1, 2018 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/ Julie Kwok, Attorney-in-Fact for Richard Dickson
2018-08-03