Statement of Changes in Beneficial Ownership (4)
May 04 2021 - 5:37PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Hugh Yoon J. |
2. Issuer Name and Ticker or Trading Symbol
MATTEL INC /DE/
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MAT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP & Corporate Controller |
(Last)
(First)
(Middle)
333 CONTINENTAL BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/30/2021 |
(Street)
EL SEGUNDO, CA 90245
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/30/2021 | | M | | 2030 | A | (1) | 5740 | D | |
Common Stock | 4/30/2021 | | F | | 702 (2) | D | $21.46 | 5038 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 4/30/2021 | | M | | | 2030 | (1) | (1) | Common Stock | 2030.0 | $0 | 2093 | D | |
Explanation of Responses: |
(1) | As reported on a Form 4 dated April 30, 2019 and filed on May 2, 2019, the Reporting Person received a grant of 6,153 Restricted Stock Units ("RSUs" or "Units") on April 30, 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 April 30, 2021, the second 33% of these RSUs vested, resulting in the issuance of 2,030 shares of Mattel, Inc. Common Stock. |
(2) | Pursuant to the terms of the April 30, 2019 RSU grant, 702 shares of Mattel, Inc. Common Stock were automatically withheld at vesting to cover required tax withholding. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hugh Yoon J. 333 CONTINENTAL BOULEVARD EL SEGUNDO, CA 90245 |
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| SVP & Corporate Controller |
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Signatures
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/s/ Tiffani Magri, Attorney-in-Fact for Yoon J. Hugh | | 5/4/2021 |
**Signature of Reporting Person | Date |
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