-----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, Lf2ziK9sC+DDc0LXwSZ2SaYytiKgu0LimIkyeOd7ZZ3T2GeBoElQsUIUJ/8e4R2l YvhczstJjjWCnrHfEHJLOQ== 0000898430-01-501326.txt : 20010713 0000898430-01-501326.hdr.sgml : 20010713 ACCESSION NUMBER: 0000898430-01-501326 CONFORMED SUBMISSION TYPE: S-8 PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20010712 EFFECTIVENESS DATE: 20010712 FILER: 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: S-8 SEC ACT: SEC FILE NUMBER: 333-64984 FILM NUMBER: 1680124 BUSINESS ADDRESS: STREET 1: 333 CONTINENTAL BLVD CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 3102522000 S-8 1 ds8.txt FORM S-8 As filed with the Securities and Exchange Commission on July 12, 2001 Registration No. 333- ================================================================================ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _______________________ FORM S-8 REGISTRATION STATEMENT Under THE SECURITIES ACT OF 1933 _______________________ MATTEL, INC. (Exact name of registrant as specified in its charter) Delaware 95-1567322 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.)
333 Continental Boulevard El Segundo, California 90245-5012 (310) 252-2000 (Address, including zip code, and telephone number, including area code, of registrant's principal executive offices) ____________________ MATTEL, INC. PERSONAL INVESTMENT PLAN MATTEL, INC. HOURLY EMPLOYEE PERSONAL INVESTMENT PLAN (Full title of the plan) ____________________ Christopher O'Brien, Esq. Assistant General Counsel and Assistant Secretary Mattel, Inc. 333 Continental Boulevard El Segundo, California 90245-5012 (310) 252-2000 (Name, address, including zip code, and telephone number, including area code, of agent for service) ____________________ Copies to: James P. Beaubien, Esq. Latham & Watkins 633 West 5th Street, Suite 4000 Los Angeles, California 90071 (213) 485-1234 CALCULATION OF REGISTRATION FEE
================================================================================================================ Proposed maximum Proposed maximum Title of each class of securities Amount to be offering price per aggregate offering Amount of to be registered registered(1) share(2) price(3) registration fee - ----------------------------------------------------------------------------------------------------------------- Common Stock, par value $1.00 per share (including the 3,500,000 $18.125 $63,437,500 $15,859.38 Preference Share Purchase Rights attached thereto)(4). =================================================================================================================
(1) Pursuant to Rule 416 under the Securities Act of 1933, as amended, the amount registered hereunder includes an indeterminate number of shares of Mattel's common stock that may be issued in accordance with the provisions of the Mattel, Inc. Personal Investment Plan and the Mattel, Inc. Hourly Employee Personal Investment Plan in the event of any change in the outstanding shares of Mattel's common stock, including a stock dividend or stock split. (2) The Proposed Maximum Offering Price Per Share is based upon the average of the high and low trading prices ($18.125) of Mattel's common stock as reported on the New York Stock Exchange on July 9, 2001, pursuant to Rule 457(h) of the Securities Act. (3) Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457 of the Securities Act. (4) Shares of our common stock being registered hereby are accompanied by preference share purchase rights. Until the occurrence of specific prescribed events, such rights are not exercisable, are evidenced by the certificates for Mattel's common stock and will be transferred along with and only with Mattel's common stock. Upon the occurrence of such prescribed events, separate rights certificates will be issued representing one right for each share of common stock held, subject to adjustment pursuant to anti- dilution provisions. PART I This Registration Statement on Form S-8 registers the offer and sale of an additional 3,500,000 shares of Common Stock of Mattel, Inc. ("Mattel") for issuance under the Mattel, Inc. Personal Investment Plan and the Mattel, Inc. Hourly Employee Personal Investment Plan (collectively, the "Plans"). The contents of the prior Registration Statements of Form S-8 of Mattel relating to the Plans, File No. 33-51454 and File No. 333-01061, are incorporated herein by reference. PART II INFORMATION REQUIRED IN THE REGISTRATION STATEMENT Item 3. Incorporation of Documents by Reference. The following documents, which have been filed with the Securities and Exchange Commission pursuant to Securities Exchange Act of 1934, as amended (the "Exchange Act"), are hereby incorporated by reference in, and shall be deemed to be a part of, this Registration Statement: (a) Mattel's Annual Report on Form 10-K405 for the year ended December 31, 2000; (b) Mattel's Current Report on Form 8-K, dated April 20, 2001; (c) Mattel's Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2001; (d) The description of Mattel's common stock contained in Mattel's Current Report on Form 8-K dated November 16, 1998; and (d) The description of Mattel's preference share purchase rights contained in Mattel's Registration Statements on Form 8-A dated February 12, 1992, and on Forms 8-A/A dated March 9, 1992, May 13, 1999 and November 12, 1999. All documents filed by Mattel pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act prior to the filing of a post-effective amendment which indicates that all securities offered have been sold or which deregisters all securities then remaining unsold are incorporated by reference in this Registration Statement. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained herein, or in any subsequently filed document which also is or is deemed to be incorporated by reference herein, modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute part of this Registration Statement. II-1 Item 4. Description of Securities. Not applicable. Item 5. Interests of Named Experts and Counsel. The validity of the issuance of the shares of common stock registered hereby has been passed upon for Mattel by Christopher O'Brien, Esq., Assistant General Counsel and Assistant Secretary of Mattel. Item 6. Indemnification of Directors and Officers. Mattel has adopted provisions in its Restated Certificate of Incorporation (the "Certificate"), which require Mattel to indemnify any and all persons whom it has the power to indemnify pursuant to the Delaware General Corporation Law (the "DGCL") against any and all expenses, judgments, fines, amounts paid in settlement, and any other liabilities to the fullest extent permitted by the DGCL. The Certificate also empowers Mattel by action of its Board of Directors to purchase and maintain insurance, at its expense, to protect itself and such persons against any such expense, judgment, fine, amount paid in settlement or other liability, whether or not Mattel would have the power to indemnify any such individual under the DGCL. In addition, Mattel's By-laws require that each person who was or is made a party or is threatened to be made a party to or is involved in any action, suit or proceeding, whether civil, criminal, administrative or investigative by reason of the fact that he or she, or a person of whom he or she is the legal representative, is or was a director, officer, employee or agent of Mattel or is or was serving at the request of Mattel, a director, officer, employee or agent of Mattel as a director, officer, employee or agent of another corporation or of a partnership, joint venture, trust or other enterprise, including service with respect to employee benefit plans, whether the basis of such proceeding is alleged action in an official capacity as a director, officer, employee or agent, or in any other capacity while serving as a director, officer, employee or agent, shall be indemnified and held harmless by Mattel to the fullest extent authorized by the DGCL, as the same exists or may hereafter be amended (but, in the case of any such amendment, only to the extent that such amendment permits Mattel to provide broader indemnification rights than said law permitted Mattel to provide prior to such amendment) against all expense, liability and loss (including attorneys' fees, judgments, fines, ERISA excise taxes or penalties and amounts paid or to be paid in settlement) reasonably incurred or suffered by such person in connection therewith and such indemnification shall continue as to a person who has ceased to be a director, officer, employee or agent and shall inure to the benefit of his or her heirs, executors and administrators; provided, however, that except for claims by such persons for non-payment of entitled indemnification claims against Mattel, Mattel shall indemnify such person seeking indemnification in connection with a proceeding initiated by such person only if such proceeding was authorized by Mattel's Board of Directors. The By-laws specify that the right to indemnification so provided is a contract right, set forth certain procedural and evidentiary standards applicable to the enforcement of a claim under the By-laws, entitle the persons to be II-2 indemnified to be reimbursed for the expenses of prosecuting any such claim against Mattel and entitle them to have all expenses incurred in advance of the final disposition of a proceeding paid by Mattel. Such provisions, however, are intended to be in furtherance and not in limitation of the general right to indemnification provided in the By-laws. Mattel has entered into indemnity agreements (the "Indemnity Agreements") with each director of Mattel, including directors who are also officers and employees of Mattel, and certain senior officers of Mattel. The Indemnity Agreements provide that Mattel will pay any costs which an indemnitee actually and reasonably incurs because of claims made against him or her by reason of the fact that he or she is or was a director or officer of Mattel. The payments to be made under the Indemnity Agreements include, but are not limited to, expenses of investigation, judicial or administrative proceedings or appeals, damages, judgments, fines, amounts paid in settlement, and attorneys' fees and disbursements, except Mattel is not obligated to make any payment under the Indemnity Agreements which Mattel is prohibited by law from paying as indemnity, or where (a) indemnification is provided to an indemnitee under an insurance policy, except for amounts in excess of insurance coverage, (b) the claim is one for which an indemnitee is otherwise indemnified by Mattel, (c) final determination is rendered in a claim based upon the indemnitee obtaining a personal profit or advantage to which he or she is not legally entitled, (d) final determination is rendered on a claim for an accounting of profits made in connection with a violation of Section 16(b) of the Exchange Act, or similar state or common law provisions, (e) the indemnitee was adjudged to be deliberately dishonest, or (f) (with respect to a director) liability arises out of a breach of certain of his or her fiduciary duties. The directors and officers of Mattel and its subsidiaries are insured under certain insurance policies against claims made during the period of the policies against liabilities arising out of claims for certain acts in their capacities as directors and officers of Mattel and its subsidiaries. Item 7. Exemption from Registration Claimed. Not applicable. Item 8. Exhibits. 4.1 Mattel, Inc. Personal Investment Plan (incorporated by reference to Exhibit 99.3 to Mattel's Current Report on Form 8-K dated August 21, 1998). 4.2 Mattel, Inc. Hourly Employee Personal Investment Plan (incorporated by reference to Exhibit 4.1 to Mattel's Registration Statement on Form S-8 dated February 20, 1996). +5.1 Opinion of Christopher O'Brien, Esq. +23.1 Consent of PricewaterhouseCoopers LLP. +23.2 Consent of Christopher O'Brien, Esq. (included in Exhibit 5.1). II-3 +24.1 Power of Attorney with respect to Mattel (see page S-1). _____________ + Filed herewith. Mattel has submitted the Mattel, Inc. Personal Investment Plan and the Mattel, Inc. Hourly Employee Personal Investment Plan to the Internal Revenue Service ("IRS") and hereby undertakes to submit any amendment to the Plans to the IRS in a timely manner and to make all changes required by the IRS in order to qualify the Plans. Item 9. Undertakings. The undersigned registrant hereby undertakes: (1) To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement: (i) To include any prospectus required by Section 10(a)(3) of the Securities Act of 1933, as amended (the "Securities Act"); (ii) To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post- effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement; (iii) To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement. Provided, however, that paragraphs (1)(i) and (1)(ii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in periodic reports filed with or furnished to the Securities and Exchange Commission by the registrant pursuant to Section 13 or Section 15(d) of the Exchange Act that are incorporated by reference in the registration statement. (2) That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. (3) To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the registrant's annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee II-4 benefit plan's annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer, or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue. II-5 SIGNATURES Pursuant to the requirements of the Securities Act of 1933, as amended, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of El Segundo, State of California, on July 12, 2001 MATTEL, INC. By: /s/ Kevin M. Farr ---------------------------------- Name: Kevin M. Farr Title: Chief Financial Officer POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below on this Registration Statement hereby constitutes and appoints Ronald M. Loeb, Robert A. Eckert, Robert Normile, Christopher O'Brien and John L. Vogelstein, their true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for them and in their name, place and stead, in any and all capacities (unless revoked in writing) to sign any and all amendments to this Registration Statement to which this power of attorney is attached, including any post-effective amendments as well as any related registration statement (or amendment thereto) filed in reliance upon Rule 462(b) under the Securities Act of 1933, as amended, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting to such attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite or necessary to be done in connection therewith, as fully to all intents and purposes as they might and could do in person hereby ratifying and confirming all that said attorneys-in-fact and agents or any of them, or their substitute or substitutes, may lawfully do or cause to be done by virtue thereof. Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities and on the date indicated.
Signature Title Date --------- ----- ---- /s/ Robert A. Eckert Chairman of the Board and Chief July 12, 2001 - ---------------------------- Robert A. Eckert Executive Officer /s/ Kevin M. Farr Chief Financial Officer July 12, 2001 - ---------------------------- Kevin M. Farr
S-1 /s/ Eugene P. Beard Director July 1, 2001 - ---------------------------- Eugene P. Beard /s/ Dr. Harold Brown Director July 12, 2001 - ---------------------------- Dr. Harold Brown /s/ Tully M. Friedman Director July 12, 2001 - ---------------------------- Tully M. Friedman /s/ Ronald M. Loeb Director July 2, 2001 - ---------------------------- Ronald M. Loeb /s/ Dr. Andrea Rich Director July 4, 2001 - ---------------------------- Dr. Andrea Rich /s/ William D. Rollnick Director July 12, 2001 - ---------------------------- William D. Rollnick /s/ Christopher A. Sinclair Director July 12, 2001 - ---------------------------- Christopher A. Sinclair /s/ G. Craig Sullivan Director July 12, 2001 - ---------------------------- G. Craig Sullivan /s/ John L. Vogelstein Director July 12, 2001 - ---------------------------- John L. Vogelstein /s/ Ralph V. Whitworth Director July 12, 2001 - ---------------------------- Ralph V. Whitworth
S-2 Pursuant to the requirements of the Securities Act of 1933, as amended, the trustees (or other person who administer the employee benefit plans) have duly caused this Registration Statement to be signed on its behalf by the undersigned hereunto duly authorized. Mattel, Inc. Personal Investment Plan and Mattel, Inc. Hourly Employee Personal Investment Plan /s/ Christopher A. Sinclair ------------------------------------------ Christopher A. Sinclair Chairman of the Pension Committee /s/ Dr. Harold Brown ------------------------------------------ Dr. Harold Brown Pension Committee Member S-3 INDEX TO EXHIBITS
SEQUENTIALLY NUMBERED EXHIBIT DESCRIPTION - --------------------- --------------------------------------------------------------------- 4.1 Mattel, Inc. Personal Investment Plan (incorporated by reference to Exhibit 99.3 to Mattel's Current Report on Form 8-K dated August 21, 1998). 4.2 Mattel, Inc. Hourly Employee Personal Investment Plan (incorporated by reference to Exhibit 4.1 to Mattel's Registration Statement on Form S-8 dated February 20, 1996). + 5.1 Opinion of Christopher O'Brien, Esq. +23.1 Consent of PricewaterhouseCoopers LLP. +23.2 Consent of Christopher O'Brien, Esq. (included in Exhibit 5.1) +24.1 Power of Attorney with respect to Mattel (see page S-1).
- --------------------- + Filed herewith. EX-5.1 2 dex51.txt OPINION OF CHRISTOPHER O'BRIEN, ESQ. EXHIBIT 5.1 [Letterhead of Christopher O'Brien, Esq.] July 12, 2001 Mattel, Inc. 333 Continental Boulevard El Segundo, California 90245-5012 Re: Registration Statement on Form S-B --------------------------------------- Ladies and Gentlemen: I am the Assistant General Counsel and Assistant Secretary of Mattel, Inc., a Delaware corporation (the "Company"). I am delivering this opinion in connection with the registration under the Securities Act of 1933, as amended (the "1933 Act"), of (i) an aggregate of 3,500,000 shares of the common stock (the "Shares"), $1.00 par value per share, of the Company, which are to be offered and sold by the Company pursuant to the Mattel, Inc. Personal Investment Plan and the Mattel, Inc. Hourly Employee Personal Investment Plan (collectively, the "Plans") and (ii) the preference share purchase rights of the Company issuable together with the Shares (the "Rights"). This opinion is delivered in accordance with the requirements of Item 601(b)(5) of Regulation S-K under the 1933 Act in connection with the Registration Statement on Form S-8 that relates to the proposed issuance and sale of the Shares pursuant to the Plans (the "Registration Statement"). Such Registration Statement is being filed with the Securities and Exchange Commission (the "Commission") under the 1933 Act. In rendering the opinion set forth herein, I have made such investigations of fact and law, and examined such documents and instruments, or copies thereof established to my satisfaction to be true and correct copies thereof, as I have deemed necessary under the circumstances. In some instances, I have relied upon other attorneys in the Company's Law Department. Based on and subject to the foregoing and subject further to the assumptions set forth below, I am of the opinion that, (i) with respect to any Shares that are original issuance securities, the Shares, when offered, sold and paid for pursuant to the terms and conditions of the Plans, will be validly issued, fully paid and non-assessable and (ii) when the Rights issuable together with the Shares to be issued pursuant to the Plans have been issued in accordance with the Rights Agreement dated February 7, 1992 between the Company and The First National Bank of Boston, as Rights Agent, as amended (the "Rights Agreement"), such Rights will be validly issued and will be binding obligations of the Company entitled to the benefits of the Rights Agreement. I express no opinion other than on the laws of the State of California and the General Corporation Law of the State of Delaware, including statutory and reported decisional law thereunder, and I express no opinion with respect to the applicability thereto, or the effect thereon, of the laws of any other jurisdiction or, in the case of Delaware, any other laws, or as to any matters of municipal law or the laws of any local agencies within any state. I hereby consent to the filing of this opinion as an exhibit to the Registration Statement. In giving such consent, I do not thereby admit that I am in the category of persons whose consent is required under Section 7 of the 1933 Act or the rules and regulations of the Commission thereunder. Very truly yours, /s/ Christopher O'Brien ------------------------------------- Christopher O'Brien, Esq. Assistant General Counsel and Assistant Secretary EX-23.1 3 dex231.txt CONSENT OF PRICEWATERHOUSECOOPERS LLP. EXHIBIT 23.1 CONSENT OF INDEPENDENT ACCOUNTANTS We hereby consent to the incorporation by reference in this Registration Statement on Form S-8 of our report dated January 31, 2001 relating to the financial statements which appears in the 2000 Annual Report to Shareholders of Mattel, Inc., which is incorporated by reference in Mattel, Inc.'s Annual Report on Form 10-K for the year ended December 31, 2000. We also consent to the incorporation by reference of our report dated January 31, 2001 relating to the financial statement schedule, which appears in such Annual Report on Form 10-K. /s/ PRICEWATERHOUSECOOPERS LLP - -------------------------------- PRICEWATERHOUSECOOPERS LLP Los Angeles, California July 12, 2001 -----END PRIVACY-ENHANCED MESSAGE-----