Statement of Changes in Beneficial Ownership (4)
01 Outubro 2020 - 4:15PM
Edgar (US Regulatory)
FORM 4
[ ]
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
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Thompson Amanda J |
2. Issuer Name and Ticker or Trading Symbol
MATTEL INC /DE/
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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)
EVP & Chief People Officer |
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(Last)
(First)
(Middle)
333 CONTINENTAL BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/29/2020 |
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(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 | 9/29/2020 | | M | | 13179 | A | (1) | 58680 | D | |
| Common Stock | 9/29/2020 | | F | | 5378 (2) | D | $11.50 | 53302 | D | |
| Common Stock | 9/29/2020 | | M | | 7688 | A | (3) | 60990 | D | |
| Common Stock | 9/29/2020 | | F | | 2659 (4) | D | $11.50 | 58331 | D | |
| Common Stock | 9/29/2020 | | M | | 7688 | A | (3) | 66019 | D | |
| Common Stock | 9/29/2020 | | F | | 3812 (5) | D | $11.50 | 62207 | 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 | (1) | 9/29/2020 | | M | | | 13179 | (1) | (1) | Common Stock | 13179.0 | $0 | 0 | D | |
| Restricted Stock Units | (3) | 9/29/2020 | | M | | | 7688 | (3) | (3) | Common Stock | 7688.0 | $0 | 0 | D | |
| Restricted Stock Units | (3) | 9/29/2020 | | M | | | 7688 | (3) | (3) | Common Stock | 7688.0 | $0 | 0 | D | |
| Explanation of Responses: |
| (1) | As reported on a Form 3 dated September 29, 2017 and filed on October 3, 2017, the Reporting Person received a grant of 38,760 Restricted Stock Units ("RSUs" or "Units") on September 29, 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 September 29, 2020, the final 34% of these RSUs vested, resulting in the issuance of 13,179 shares of Mattel, Inc. Common Stock. |
| (2) | Pursuant to the terms of the September 29, 2017 RSU grant, 5,378 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. |
| (3) | As reported on a Form 3 dated September 29, 2017 and filed on October 3, 2017, the Reporting Person received a grant of 22,610 RSUs on September 29, 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 September 29, 2020, the final 34% of these RSUs vested, resulting in the issuance of 7,688 shares of Mattel, Inc. Common Stock. |
| (4) | Pursuant to the terms of the September 29, 2017 RSU grant, 2,659 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. |
| (5) | Pursuant to the terms of the September 29, 2017 RSU grant, 3,812 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Thompson Amanda J
333 CONTINENTAL BOULEVARD
EL SEGUNDO, CA 90245 |
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| EVP & Chief People Officer |
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Signatures
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| /s/ Robert Efthimos, Attorney-in-Fact for Amanda J. Thompson | | 10/1/2020 |
| **Signature of Reporting Person | Date |
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