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MATTEL INC /DE/ — Director's Dealing 2015
Sep 17, 2015
30976_dirs_2015-09-17_aa28c2f9-5e35-444b-89b1-de597d902745.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: MATTEL INC /DE/ (MAT)
CIK: 0000063276
Period of Report: 2015-09-09
Reporting Person: Lecker Susan R (EVP, Chief Brands Off-Toy Box)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| No securities beneficially owned | 0 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option - Right to Buy - Granted 08/01/2012 | $34.76 | 2022-08-01 | Common Stock (4595) | Direct | |
| Employee Stock Option - Right to Buy - Granted 08/01/2013 | $42.70 | 2023-08-01 | Common Stock (12514) | Direct | |
| Employee Stock Option - Right to Buy - Granted 08/01/2014 | $35.25 | 2024-08-01 | Common Stock (30134) | Direct | |
| Employee Stock Option - Right to Buy - Granted 07/31/2015 | $23.21 | 2025-07-31 | Common Stock (77720) | Direct | |
| Restricted Stock Units - Granted 08/01/2013 | $ | Common Stock (1288) | Direct | ||
| Restricted Stock Units - Granted 04/30/2014 | $ | Common Stock (3188) | Direct | ||
| Restricted Stock Units - Granted 08/01/2014 | $ | Common Stock (3830) | Direct | ||
| Restricted Stock Units - Granted 12/12/2014 | $ | Common Stock (2439) | Direct | ||
| Restricted Stock Units - Granted 06/30/2015 | $ | Common Stock (3893) | Direct | ||
| Restricted Stock Units - Granted 07/31/2015 | $ | Common Stock (6463) | Direct | ||
| Restricted Stock Units - Granted 08/31/2015 | $ | Common Stock (14938) | Direct |
Footnotes
F1: 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 thrid anniversary of the date of grant.
F2: The option was granted pursuant to the Mattel, Inc. Amended and Restated 2010 Equity and Long-Term Compensation Plan (the "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 thrid anniversary of the date of grant.
F3: The Restricted Stock Units ("RSUs" or the "Units") vest as to 50% of the Units 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, Inc. common stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of one share of common stock on the date of vesting), subject to tax withholding.
F4: The RSUs were granted pursuant to the 2010 Plan. Each Unit represents a contingent right to receive one share of Mattel, Inc. common stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of such share on the settlement date). The RSUs are accompanied by divident equivalent rights.
F5: The RSUs vest as to 50% of the Units on the first anniversary of the date of grant and as to the remaining 50% of the Units granted on the second 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, Inc. common stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of one share of common stock on the date of vesting), subject to tax withholding.
F6: The RSUs vest as to (a) 33% of the Units on the first anniversary of the date of grant, (b) an additional 33% of the Units on the second anniversary of the date of grant, and (c) the remaining 34% of the Units on the thrid 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, Inc. common stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of one share of common stock on the date of vesting), subject to tax withholding.
F7: The RSUs were granted pursuant to the Plan. Each Unit represents a contingent right to receive one share of Mattel, Inc. common stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of such share). The RSUs are accompanied by divident equivalent rights.