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