Current Report Filing (8-k)
06 Novembro 2014 - 6:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d)
of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
October 31, 2014
MATTEL, INC.
(Exact name of registrant as specified in its charter)
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Delaware |
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001-05647 |
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95-1567322 |
(State or other Jurisdiction
of Incorporation) |
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(Commission
File Number) |
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(IRS. Employer
Identification No.) |
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333 Continental Boulevard,
El Segundo, California |
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90245-5012 |
(Address of Principal Executive Offices) |
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(Zip Code) |
Registrants telephone number, including area code: (310) 252-2000
N/A
(Former name or
former address if changed since last report.)
Check the appropriate box below
if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 8.01. Other Events.
On October 31, 2014, pursuant to the Mattel, Inc. (Mattel) Amended and Restated Guidelines Concerning Rule 10b5-1(c) Individual Trading Plans
(the Guidelines), Bryan Stockton, Chairman of the Board of Directors and Chief Executive Officer, entered into an individual Rule 10b5-1(c) trading plan (the Plan) with a broker to sell shares of Mattel stock to be acquired
upon the exercise of an employee stock option (the Option), as detailed below. The first sale under the Plan will not take place until February 16, 2015, which is longer than the 30-day waiting period required by Mattels
Guidelines.
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Name of Executive |
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Title |
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Number of
Shares in
Plan |
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Option
Grant Date |
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Option
Expiration
Date |
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Date of
Adoption of
Plan |
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Plan
Termination
Date |
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Bryan Stockton |
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Chairman of the Board and Chief Executive Officer |
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50,000 |
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08/01/2005 |
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08/01/2015 |
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10/31/2014 |
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08/01/2015 |
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Transactions under the Plan will be disclosed publicly through Form 144 and Form 4 filings with the Securities and Exchange
Commission. The Plan was adopted in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended, and with Mattels Guidelines.
Rule 10b5-1 permits individuals who are not aware of material, non-public information at the time the plan is adopted to establish pre-arranged plans to buy
or sell company stock. Using these plans, individuals can gradually diversify their investment portfolios over an extended period of time and better manage the exercise of stock options and the sale of shares.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on
its behalf by the undersigned hereunto duly authorized.
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MATTEL, INC. |
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Date: November 6, 2014 |
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By: |
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/s/ Robert Normile |
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Name: |
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Robert Normile |
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Title: |
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Executive Vice President, Chief Legal Officer and Secretary |
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