Form Type: 4

SEC EDGAR Link
Accession Number:0001523711-21-000062
Date:2021-07-31
Issuer: MATTEL INC /DE/ (MAT)
Original Submission Date:

Reporting Person:

TOTZKE STEVE
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 6,464 a $0.00 54,020 direct
COMMON STOCK 2021-08-01 F 3,205 d $21.72 50,815 direct
COMMON STOCK 2021-08-01 M 3,643 a $0.00 54,458 direct
COMMON STOCK 2021-08-01 F 1,807 d $21.72 52,651 direct
COMMON STOCK 2021-07-31 M 11,138 a $0.00 63,789 direct
COMMON STOCK 2021-07-31 F 5,523 d $21.72 58,266 direct
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 - GRANTED 08/01/2018 0.0 2021-08-01 deemed execution date M 6,464 (d) common stock 6,464 $0.00 0 direct
RESTRICTED STOCK UNITS - GRANTED 08/01/2019 0.0 2021-08-01 deemed execution date M 3,643 (d) common stock 3,643 $0.00 3,753 direct
RESTRICTED STOCK UNITS 0.0 2021-07-31 deemed execution date M 11,138 (d) common stock 11,138 $0.00 22,615 direct
RESTRICTED STOCK UNITS 0.0 2021-08-02 deemed execution date A 22,821 (a) common stock 22,821 $0.00 56,574 direct
EMPLOYEE STOCK OPTION - RIGHT TO BUY 21.91 2021-08-02 deemed execution date A 53,191 (a) 2031-08-02 common stock 53,191 $21.91 135,428 direct
Footnotes
IDfootnote
f1 as reported on a form 3 dated june 24, 2020 and filed on july 2, 2020, the reporting person received a grant of 19,011 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 6,464 shares of mattel, inc. common stock.
f2 pursuant to the terms of the august 1, 2018 rsu grant, 3,205 shares of mattel, inc. common stock were automatically withheld at vesting to cover required tax withholding.
f3 as reported on a form 3 dated june 24, 2020 and filed on july 2, 2020, the reporting person received a grant of 11,038 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 3,643 shares of mattel, inc. common stock.
f4 pursuant to the terms of the august 1, 2019 rsu grant, 1,807 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 33,753 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 11,138 shares of mattel, inc. common stock.
f6 pursuant to the terms of the july 31, 2020 rsu grant, 5,523 shares of mattel, inc. common stock were automatically withheld at vesting to cover required tax withholding.
f7 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).
f8 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.
f9 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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