Current Report Filing (8-k)
05 Março 2019 - 6:08PM
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):
February 27, 2019
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
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(State or other jurisdiction
of incorporation)
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(Commission
File No.)
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(I.R.S. Employer
Identification No.)
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333 Continental Boulevard, El Segundo, California
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90245-5012
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(Address of principal executive offices)
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(Zip Code)
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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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☐
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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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☐
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this
chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
Emerging growth company ☐
If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Section 8 Other Events
Item 8.01 Other Events.
On February 27, 2019,
pursuant to the Amended and Restated Mattel, Inc. (Mattel) Guidelines Concerning
Rule 10b5-1(c)
Individual Trading Plans (the Guidelines), Robert Normile, Executive Vice President,
Chief Legal Officer and Secretary, 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 employee
stock options (the Options), as detailed below. The Options are scheduled to expire on July 31, 2019. In accordance with the Guidelines, the first sale under the Plan will not take place until at least 30 days after the date
Mr. Normile adopted his Plan.
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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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Robert Normile
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Executive Vice President, Chief Legal Officer and Secretary
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72,267
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07/31/2009
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07/31/2019
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02/27/2019
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07/31/2019
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The 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, 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: March 5, 2019
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By:
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/s/ Robert Normile
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Name: Robert Normile
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Title: Executive Vice President,
Chief Legal Officer and Secretary
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