Form Type: 4

SEC EDGAR Link
Accession Number:0001523711-21-000054
Date:2021-07-31
Issuer: MATTEL INC /DE/ (MAT)
Original Submission Date:

Reporting Person:

DICKSON RICHARD
333 CONTINENTAL BOULEVARD
EL SEGUNDO, CA 90245

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-08-01 M 24,240 a $0.00 302,878 direct
COMMON STOCK 2021-08-01 F 12,019 d $21.72 290,859 direct
COMMON STOCK 2021-08-01 M 27,318 a $0.00 318,177 direct
COMMON STOCK 2021-08-01 F 13,545 d $21.72 304,632 direct
COMMON STOCK 2021-07-31 M 33,415 a $0.00 338,047 direct
COMMON STOCK 2021-07-31 F 16,568 d $21.72 321,479 direct
COMMON STOCK 2021-07-31 0 $0.00 7,171 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2021-08-01 deemed execution date M 24,240 (d) common stock 24,240 $0.00 0 direct
RESTRICTED STOCK UNITS 0.0 2021-08-01 deemed execution date M 27,318 (d) common stock 27,318 $0.00 28,146 direct
RESTRICTED STOCK UNITS 0.0 2021-07-31 deemed execution date M 33,415 (d) common stock 33,415 $0.00 67,845 direct
RESTRICTED STOCK UNITS 0.0 2021-08-02 deemed execution date A 51,346 (a) common stock 51,346 $0.00 152,606 direct
EMPLOYEE STOCK OPTION - RIGHT TO BUY 21.91 2021-08-02 deemed execution date A 119,681 (a) 2031-08-02 common stock 119,681 $21.91 366,392 direct
Footnotes
IDfootnote
f1 as reported on a form 4 dated august 1, 2018 and filed on august 3, 2018, the reporting person received a grant of 71,293 restricted stock units ("rsus" or "units") on august 1, 2018. 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 august 1, 2021, the remaining 34% of these rsus vested, resulting in the issuance of 24,240 shares of mattel, inc. common stock.
f2 pursuant to the terms of the august 1, 2018 rsu grant, 12,019 shares of mattel, inc. common stock were automatically withheld at vesting to cover required tax withholding.
f3 as reported on a form 4 dated august 1, 2019 and filed on august 5, 2019, the reporting person received a grant of 82,781 rsus on august 1, 2019. 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, subject to tax withholding. on august 1, 2021, the second 33% of these rsus vested, resulting in the issuance of 27,318 shares of mattel, inc. common stock.
f4 pursuant to the terms of the august 1, 2019 rsu grant, 13,545 shares of mattel, inc. common stock were automatically withheld at vesting to cover required tax withholding.
f5 as reported on a form 4 dated july 31, 2020 and filed on august 4, 2020, the reporting person received a grant of 101,260 rsus on july 31, 2020. 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, subject to tax withholding. on july 31, 2021, the first 33% of these rsus vested, resulting in the issuance of 33,415 shares of mattel, inc. common stock.
f6 pursuant to the terms of the july 31, 2020 rsu grant, 16,568 shares of mattel, inc. common stock were automatically withheld at vesting to cover required tax withholding.
f7 as of july 30, 2021, the reporting person had a balance of $155,755.47 in the mattel stock fund of mattel, inc.'s 401(k) plan, the personal investment plan ("pip"). the number of shares has been calculated by the third-party administrator for the pip.
f8 the rsus were granted on august 2, 2021 pursuant to the mattel, inc. amended and restated 2010 equity and long-term compensation plan, as amended (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).
f9 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.
f10 the option was granted on august 2, 2021 pursuant to 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.

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