Statement of Changes in Beneficial Ownership (4)
12 Agosto 2020 - 8:12PM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
EUTENEUER JOSEPH J |
2. Issuer Name and Ticker or Trading Symbol
MATTEL INC /DE/
[
MAT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
333 CONTINENTAL BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/10/2020 |
(Street)
EL SEGUNDO, CA 90245
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/10/2020 | | M | | 51902 | A | (1) | 159724 | D | |
Common Stock | 8/10/2020 | | F | | 25736 (2) | D | $11.66 | 133988 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (3) | 8/10/2020 | | M | | | 16538 | (3) | (3) | Common Stock | 16538.0 | $0 | 0 | D | |
Restricted Stock Units | (3) | 8/10/2020 | | M | | | 16538 | (3) | (3) | Common Stock | 16538.0 | $0 | 0 | D | |
Restricted Stock Units | (3) | 8/10/2020 | | M | | | 18375 | (3) | (3) | Common Stock | 18375.0 | $0 | 0 | D | |
Restricted Stock Units | (4) | 8/10/2020 | | M | | | 285 | (4) | (4) | Common Stock | 285.0 | $0 | 0 | D | |
Restricted Stock Units | (5) | 8/10/2020 | | M | | | 166 | (5) | (5) | Common Stock | 166.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Restricted stock units convert to common stock on a one-for-one basis. |
(2) | Represents shares withheld to satisfy required tax obligations. |
(3) | Upon vesting, restricted stock units convert to common stock on a one-for-one basis, and there is no expiration date. Represents a prorated portion of the shares that were scheduled to vest on September 29, 2020, but which became vested in connection with the reporting person's termination of employment on August 10, 2020. |
(4) | Upon vesting, restricted stock units convert to common stock on a one-for-one basis, and there is no expiration date. Represents a prorated portion of the shares that were scheduled to vest on August 1, 2021, but which became vested in connection with the reporting person's termination of employment on August 10, 2020. |
(5) | Upon vesting, restricted stock units convert to common stock on a one-for-one basis, and there is no expiration date. Represents a prorated portion of the shares that were scheduled to vest on August 1, 2021 and August 1, 2022, but which became vested in connection with the reporting person's termination of employment on August 10, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
EUTENEUER JOSEPH J 333 CONTINENTAL BOULEVARD EL SEGUNDO, CA 90245 |
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| Chief Financial Officer |
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Signatures
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/s/ Tiffani Magri as Attorney-in-Fact for Joseph J. Euteneuer | | 8/12/2020 |
**Signature of Reporting Person | Date |
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