0001523711-20-000056.txt : 20200804 0001523711-20-000056.hdr.sgml : 20200804 20200804193734 ACCESSION NUMBER: 0001523711-20-000056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200731 FILED AS OF DATE: 20200804 DATE AS OF CHANGE: 20200804 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TOTZKE STEVE CENTRAL INDEX KEY: 0001666142 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05647 FILM NUMBER: 201075083 MAIL ADDRESS: STREET 1: 333 CONTINENTAL BOULEVARD STREET 2: TWR 15-1 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_159658419384145.xml FORM 4 X0306 4 2020-07-31 0 0000063276 MATTEL INC /DE/ MAT 0001666142 TOTZKE STEVE 333 CONTINENTAL BLVD. EL SEGUNDO CA 90245 0 1 0 0 EVP, Chief Comm Officer Common Stock 2020-08-01 4 M 0 2587 A 22184 D Common Stock 2020-08-01 4 F 0 895 11.11 D 21289 D Common Stock 2020-08-01 4 M 0 6274 A 27563 D Common Stock 2020-08-01 4 F 0 2170 11.11 D 25393 D Common Stock 2020-08-01 4 M 0 3642 A 29035 D Common Stock 2020-08-01 4 F 0 1600 11.11 D 27435 D Restricted Stock Units - Granted 08/01/2017 2020-08-01 4 M 0 2587 0 D Common Stock 2587.0 0 D Restricted Stock Units - Granted 08/01/2018 2020-08-01 4 M 0 6274 0 D Common Stock 6274.0 6464 D Restricted Stock Units - Granted 08/01/2019 2020-08-01 4 M 0 3642 0 D Common Stock 3642.0 7396 D Restricted Stock Units 2020-07-31 4 A 0 33753 0 A Common Stock 33753.0 33753 D Employee Stock Option - Right to Buy 11.11 2020-07-31 4 A 0 82237 0 A 2030-07-31 Common Stock 82237.0 82237 D As reported on a Form 3 dated June 24, 2020 and filed on July 2, 2020, the Reporting Person received a grant of 7,606 Restricted Stock Units ("RSUs" or "Units") on August 1, 2017. The RSUs vested 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 received one share of Mattel, Inc. Common Stock, subject to tax withholding. On August 1, 2020, the final 34% of these RSUs vested, resulting in the issuance of 2,587 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the August 1, 2017 RSU grant, 895 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. As reported on a Form 3 dated June 24, 2020 and filed on July 2, 2020, the Reporting Person received a grant of 19,011 RSUs on August 1, 2018. 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, subject to tax withholding. On August 1, 2020, the second 33% of these RSUs vested, resulting in the issuance of 6,274 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the August 1, 2018 RSU grant, 2,170 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. As reported on a Form 3 dated June 24, 2020 and filed on July 2, 2020, the Reporting Person received a grant of 11,038 RSUs on August 1, 2019. 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, subject to tax withholding. On August 1, 2020, the first 33% of these RSUs vested, resulting in the issuance of 3,642 shares of Mattel, Inc. Common Stock. Pursuant to the terms of the August 1, 2019 RSU grant, 1,600 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. The RSUs were granted on July 31, 2020 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 July 31, 2020 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/ Robert Efthimos, Attorney-in-Fact for Steven B. Totzke 2020-08-04