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MATTEL INC /DE/ — Director's Dealing 2011
May 16, 2011
30976_dirs_2011-05-16_071ed6c9-3776-4314-9e60-f23187cfc0ef.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MATTEL INC /DE/ (MAT)
CIK: 0000063276
Period of Report: 2011-05-12
Reporting Person: SARGENT RONALD (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-05-12 | Common stock | M | 1000 | — | Acquired | 36676 | Direct |
| 2011-05-13 | Common stock | M | 7087 | — | Acquired | 43763 | Direct |
| 2011-05-13 | Common stock | M | 4320 | — | Acquired | 48083 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-05-12 | Restricted Stock Units | $ | M | 1000 | Disposed | Common stock (1000) | Direct | |
| 2011-05-13 | Restricted Stock Units | $ | M | 7087 | Disposed | Common stock (7087) | Direct | |
| 2011-05-13 | Restricted Stock Units | $ | M | 4320 | Disposed | Common stock (4320) | Direct |
Footnotes
F1: As reported on a Form 4 dated May 29, 2008 and filed on June 2, 2008, the reporting person received a grant of 2,000 Restricted Stock Units ("RSUs") on May 29, 2008. On May 12, 2011, 50% of these RSUs vested, resulting in the issuance of 1,000 shares of Mattel common stock.
F2: As reported on a Form 4 dated May 13, 2009 and filed on May 14, 2009, the reporting person received a grant of 7,087 RSUs on May 13, 2009. Under the terms of his RSU grant agreement, these RSUs settled on the earlier of the third anniversary of the grant date or upon his Retirement, death or Disability. Mr. Sargent ceased to be a Director of Mattel on May 13, 2011 when he was "Retirement" eligible (i.e., he was at least 55 years old with at least five years of service with Mattel).
F3: As reported on a Form 4 dated May 11, 2010 and filed on May 13, 2010, the reporting person received a grant of 4,320 RSUs on May 11, 2010. Under the terms of his RSU grant agreement, these RSUs settled on the earlier of the third anniversary of the grant date or upon his Retirement, death or Disability. Mr. Sargent ceased to be a Director of Mattel on May 13, 2011 when he was "Retirement" eligible (i.e., he was at least 55 years old with at least five years of service with Mattel).