Isaias Zanatta Roberto Jacobo's Form 4 filing
Mattel Inc (MAT) · filed Aug 4, 2023
- Accession no.
- 0001523711-23-000100
- Filed
- Aug 4, 2023
- Trade date
- Aug 2-4, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $509.0K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Isaias Zanatta Roberto JacoboCIK 0001767603 | Officer (EVP & Chief Supply Chain Offr) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2023 | Common Stock | MOption exerciseAcquired | +5,930 | –F1 | – | 131,053 | Direct | |
| Aug 2, 2023 | Common Stock | FTax withholdingDisposed | −2,941 | $21.25 | −$62,496.25 | 128,112 | Direct | |
| Aug 4, 2023 | Common Stock | SSaleDisposed | −25,000 | $20.36F3 | −$509,000 | 103,112 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2023 | Common Stock | MOption exerciseDisposed | −5,930 | $0.00 | $0 | 6,111 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
As reported on a Form 4 dated July 31, 2021 and filed on August 3, 2021, the Reporting Person received a grant of 17,971 Restricted Stock Units ("RSUs" or "Units") on August 2, 2021. 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 2, 2023, the second 33% of these RSUs vested, resulting in the issuance of 5,930 shares of Mattel, Inc. Common Stock.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $20.36 to $20.38. The price reported reflects the weighted average purchase price, rounded to the nearest tenth of a cent. The Reporting Person hereby undertakes to provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.