AI assistant
MATTEL INC /DE/ — Director's Dealing 2011
Feb 11, 2011
30976_dirs_2011-02-11_be4c86f4-b0d7-4a0e-b95d-5c5764e9b53f.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: MATTEL INC /DE/ (MAT)
CIK: 0000063276
Period of Report: 2011-02-04
Reporting Person: KILPIN TIMOTHY J. (EVP Mattel Brands El Segundo)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common stock | 52443 | Direct |
| Common stock | 2903 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock option - right to buy - Granted on 10/31/03 | $19.36 | 2013-10-31 | Common stock (30000) | Direct | |
| Stock option - right to buy - Granted on 4/30/04 | $16.96 | 2014-04-30 | Common stock (15000) | Direct | |
| Stock option - right to buy - Granted on 8/1/05 | $18.71 | 2015-08-01 | Common stock (40000) | Direct | |
| Stock option - right to buy - Granted on 8/1/06 | $17.94 | 2016-08-01 | Common stock (20000) | Direct | |
| Stock option - right to buy - Granted on 8/1/07 | $23.58 | 2017-08-01 | Common stock (15000) | Direct | |
| Stock option - right to buy - Granted on 8/1/08 | $20.48 | 2018-08-01 | Common stock (35620) | Direct | |
| Restricted stock units - Granted on 8/1/08 | $ | Common stock (3296) | Direct | ||
| Restricted stock units - Granted on 11/20/08 | $ | Common stock (17513) | Direct | ||
| Stock option - right to buy - Granted on 7/31/09 | $17.58 | 2019-07-31 | Common stock (36585) | Direct | |
| Restricted stock units - Granted on 7/31/09 | $ | Common stock (7679) | Direct | ||
| Stock option - right to buy - Granted on 8/2/10 | $21.50 | 2020-08-02 | Common stock (33543) | Direct | |
| Restricted stock units - Granted on 8/2/10 | $ | Common stock (7442) | Direct |
Footnotes
F1: Restricted stock units for 29,462 shares of Mattel common stock were earned on February 1, 2011, based on satisfaction of meeting certain performance criteria for the period January 1, 2008 through December 31, 2010, and will vest and settle in shares of Mattel common stock on a one-for-one basis, subject to tax withholding, if the reporting person continues to be employed through the vesting and settlement date, which shall be within 15 business days following February 1, 2011.
F2: As of February 9, 2011, the reporting person had a balance of $74,643 in the Mattel Stock Fund of Mattel's 401(k) plan, the Personal Investment Plan ("PIP"). The number of shares has been calculated by the plan administrator for the PIP.
F3: The option was granted pursuant to the Mattel, Inc. 2005 Equity Compensation Plan (the "2005 Plan"). The option vests and becomes exercisable with regard to (a) 33% of the shares granted on the first anniversary of the date of grant, (b) an additional 33% of the shares granted on the second anniversary of the date of grant, and (c) the remaining 34% of the shares granted on the third anniversary of the date of grant.
F4: The RSUs vest as to 50% of the Units granted on the second anniversary of the date of grant and as to the remaining 50% 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 will receive one share of Mattel common stock (or, at the election of Mattel, a cash amount equal to the fair market value of one share of common stock on the date of vesting), subject to tax withholding.
F5: The RSUs were granted pursuant to the 2005 Plan. Each Unit represents a contingent right to receive one share of Mattel common stock (or, at the election of Mattel, a cash amount equal to the fair market value of such share). The RSUs are accompanied by dividend equivalent rights.
F6: The option was granted pursuant to the Mattel, Inc. 2010 Equity and Long-Term Compensation Plan (the "2010 Plan"). The option vests and becomes exercisable with regard to (a) 33% of the shares granted on the first anniversary of the date of grant, (b) an additional 33% of the shares granted on the second anniversary of the date of grant, and (c) the remaining 34% of the shares granted on the third anniversary of the date of grant.
F7: The RSUs were granted pursuant to the 2010 Plan. Each Unit represents a contingent right to receive one share of Mattel common stock (or, at the election of Mattel, a cash amount equal to the fair market value of such share). The RSUs are accompanied by dividend equivalent rights.