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MATTEL INC /DE/ — Director's Dealing 2016
Feb 8, 2016
30976_dirs_2016-02-08_c82efbe4-c38c-4ede-9868-aeca94da26ae.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: 2016-02-01
Reporting Person: TOTZKE STEVE (EVP, Chief Comm Off-N America)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6418 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option - Right to Buy - Granted 08/01/2011 | $26.375 | 2021-08-01 | Common Stock (1422.0) | Direct | |
| Employee Stock Option - Right to Buy - Granted 08/01/2012 | $34.76 | 2022-08-01 | Common Stock (11514.0) | Direct | |
| Employee Stock Option - Right to Buy - Granted 08/01/2013 | $42.7 | 2023-08-01 | Common Stock (12799.0) | Direct | |
| Employee Stock Option - Right to Buy - Granted 08/01/2014 | $35.25 | 2024-08-01 | Common Stock (26228.0) | Direct | |
| Employee Stock Option - Right to Buy - Granted 07/31/2015 | $23.21 | 2025-07-31 | Common Stock (64767.0) | Direct | |
| Restricted Stock Units - Granted 08/01/2013 | $ | Common Stock (1318.0) | Direct | ||
| Restricted Stock Units - Granted 08/01/2014 | $ | Common Stock (3333.0) | Direct | ||
| Restricted Stock Units - Granted 12/12/2014 | $ | Common Stock (813.0) | Direct | ||
| Restricted Stock Units - Granted 05/29/2015 | $ | Common Stock (3874.0) | Direct | ||
| Restricted Stock Units - Granted 07/31/2015 | $ | Common Stock (5386.0) | 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 third anniversary of the date of grant.
F2: The option was granted pursuant to the Amended and Restated Mattel, Inc. 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 third anniversary of the date of grant.
F3: The Restricted Stock Units (the "RSUs" or the "Units") 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, 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 dividend equivalent rights.
F5: The RSUs vest as to 50% of the Units granted 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 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 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 on the settlement date).