0001185185-22-000023.txt : 20220107 0001185185-22-000023.hdr.sgml : 20220107 20220107173353 ACCESSION NUMBER: 0001185185-22-000023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220105 FILED AS OF DATE: 20220107 DATE AS OF CHANGE: 20220107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERMAN STEPHEN G CENTRAL INDEX KEY: 0001275342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35448 FILM NUMBER: 22519074 MAIL ADDRESS: STREET 1: 22619 PACIFIC COAST HWY CITY: MALIBU STATE: CA ZIP: 90265 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JAKKS PACIFIC INC CENTRAL INDEX KEY: 0001009829 STANDARD INDUSTRIAL CLASSIFICATION: GAMES, TOYS & CHILDREN'S VEHICLES (NO DOLLS & BICYCLES) [3944] IRS NUMBER: 954527222 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2951 28TH STREET CITY: SANTA MONICA STATE: CA ZIP: 90405 BUSINESS PHONE: 424-268-9444 MAIL ADDRESS: STREET 1: 2951 28TH STREET CITY: SANTA MONICA STATE: CA ZIP: 90405 4 1 ownership.xml X0306 4 2022-01-05 0 0001009829 JAKKS PACIFIC INC JAKK 0001275342 BERMAN STEPHEN G C/O JAKKS PACIFIC, INC. 2951 28TH STREET SANTA MONICA CA 90405 1 1 0 0 CEO, President and Secretary Common Stock 2022-01-05 4 S 0 9704 10.29 D 142114 D Common Stock 2022-01-06 4 S 0 15602 9.68 D 126512 D Common Stock 2022-01-07 4 S 0 9100 9.58 D 117412 D Restricted Stock Units ("RSU") 2022-01-01 4 A 0 0 A Common Stock 214218 214218 D RSU 2021-01-01 4 A 0 0 A Common Stock 64067 64067 D RSU 2020-01-01 4 A 0 0 A Common Stock 26408 26408 D RSU 2019-01-01 4 A 0 0 A Common Stock 166669 166669 D Sale made pursuant to an exempt Selling Plan under Rule 10b5-1. Represents the average sale price for multiple sales made this day. Exact sales data to be provided to the staff of the Securities and Exchange Commission upon request. Certain of the underlying shares may be restricted from transfer pursuant to the minimum stock ownership provisions adopted by the Company's Board of Directors. Previously reported. Issued on 1/1/22 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs will vest in 3 equal annual installments commencing on the first anniversary of the date of grant and on the second and third anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest. Previously reported. Issued on 1/1/21 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs vest in 4 equal annual installments commencing on the first anniversary of the date of grant and on the second, third and fourth anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest. Previously reported. Issued on 1/1/20 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. RSUs vest in 4 equal annual installments commencing on the first anniversary of the date of grant and on the second, third and fourth anniversaries thereafter. The Reporting Person must be employed by Issuer for an RSU to vest. Previously reported. Issued on 1/1/19 under the Company's 2002 Stock Award and Incentive Plan and is subject to the terms of Agreement for Award of Restricted Stock Units between Issuer and Reporting Person. In accordance with such Agreement, securities so issued will have no voting rights and may not be sold, mortgaged, pledged, transferred, or otherwise encumbered prior to vesting. Vest as follows: 40% of the award is subject to time vesting in four equal annual installments over four years and the balance of the award is subject to three year "cliff vesting" upon satisfaction of certain performance measures at the close of the three-year performance period based upon performance criteria to be determined by the Issuer's Compensation Committee during the first quarter of the year of grant. The closing price of the Company's common stock for the trading day preceding the date of grant, as reported by NASDAQ All numbers have been adjusted to reflect the 1-for-10 reverse stock split that was effective July 9, 2020. /s/ Stephen G. Berman 2022-01-07