UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option - Right to Buy - Granted 08/01/2011 | Â (1) | 08/01/2021 | Common Stock | 1,422 | $ 26.375 | D | Â |
Employee Stock Option - Right to Buy - Granted 08/01/2012 | Â (1) | 08/01/2022 | Common Stock | 11,514 | $ 34.76 | D | Â |
Employee Stock Option - Right to Buy - Granted 08/01/2013 | Â (1) | 08/01/2023 | Common Stock | 12,799 | $ 42.7 | D | Â |
Employee Stock Option - Right to Buy - Granted 08/01/2014 | Â (1) | 08/01/2024 | Common Stock | 26,228 | $ 35.25 | D | Â |
Employee Stock Option - Right to Buy - Granted 07/31/2015 | Â (2) | 07/31/2025 | Common Stock | 64,767 | $ 23.21 | D | Â |
Restricted Stock Units - Granted 08/01/2013 | Â (3) | Â (3) | Common Stock | 1,318 | $ (4) | D | Â |
Restricted Stock Units - Granted 08/01/2014 | Â (3) | Â (3) | Common Stock | 3,333 | $ (4) | D | Â |
Restricted Stock Units - Granted 12/12/2014 | Â (5) | Â (5) | Common Stock | 813 | $ (4) | D | Â |
Restricted Stock Units - Granted 05/29/2015 | Â (6) | Â (6) | Common Stock | 3,874 | $ (7) | D | Â |
Restricted Stock Units - Granted 07/31/2015 | Â (6) | Â (6) | Common Stock | 5,386 | $ (7) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TOTZKE STEVE 333 CONTINENTAL BOULEVARD EL SEGUNDO, CA 90245 |
 |  |  EVP, Chief Comm Off-N America |  |
/s/ Julie Kwok, Attorney-in-Fact for Steven B. Totzke | 02/08/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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. |
(2) | 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. |
(3) | 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. |
(4) | 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. |
(5) | 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. |
(6) | 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. |
(7) | 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). |
 Remarks: Exhibit 24 - Power of Attorney |