Hugh Yoon J. 的 Form 4 申報
Mattel Inc（MAT），2023/8/2 申報
- 申報編號
- 0001523711-23-000087
- 申報時間
- 2023/8/2
- 交易日
- 2023/7/31-8/1
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 9 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $116.9 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Hugh Yoon J.CIK 0001474865 | 高階主管（資深副總裁、主計長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/7/31 | Common Stock | M行使選擇權取得 | +5,165 | –F1 | – | 41,751 | 直接 | |
| 2023/7/31 | Common Stock | F扣股繳稅處分 | −1,787 | $21.30 | −$38,063.1 | 39,964 | 直接 | |
| 2023/7/31 | Common Stock | M行使選擇權取得 | +16,556 | $12.19 | +$201,817.64 | 56,520 | 直接 | |
| 2023/7/31 | Common Stock | S賣出處分 | −16,556 | $21.36F3 | −$353,636.16 | 39,964 | 直接 | |
| 2023/7/31 | Common Stock | M行使選擇權取得 | +9,785 | $13.59 | +$132,978.15 | 49,749 | 直接 | |
| 2023/7/31 | Common Stock | S賣出處分 | −9,785 | $21.46F4 | −$209,986.1 | 39,964 | 直接 | |
| 2023/7/31 | Common Stock | M行使選擇權取得 | +12,336 | $11.11 | +$137,052.96 | 52,300 | 直接 | |
| 2023/7/31 | Common Stock | S賣出處分 | −12,336 | $21.39F5 | −$263,867.04 | 39,964 | 直接 | |
| 2023/8/1 | Common Stock | S賣出處分 | −16,096 | $21.20F6 | −$341,235.2 | 23,868 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/7/31 | Common Stock | M行使選擇權處分 | −5,165 | $0.00 | $0 | 0 | 直接 | |
| 2023/7/31 | Common Stock | M行使選擇權處分 | −16,556 | $0.00 | $0 | 0 | 直接 | |
| 2023/7/31 | Common Stock | M行使選擇權處分 | −9,785 | $0.00 | $0 | 0 | 直接 | |
| 2023/7/31 | Common Stock | M行使選擇權處分 | −12,336 | $0.00 | $0 | 0 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
As reported on a Form 4 dated July 31, 2020 and filed on August 4, 2020, the Reporting Person received a grant of 15,189 Restricted Stock Units ("RSUs" or "Units") on July 31, 2020. 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 July 31, 2023, the remaining 34% of these RSUs vested, resulting in the issuance of 5,165 shares of Mattel, Inc. Common Stock.
表 I 有 1 筆交易的價格引用這則附註。
- F3
This transaction was executed in multiple trades at prices ranging from $21.360 to $21.400. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F4
This transaction was executed in multiple trades at prices ranging from $21.460 to $21.465. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F5
This transaction was executed in multiple trades at prices ranging from $21.390 to $21.400. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F6
This transaction was executed in multiple trades at prices ranging from $21.195 to $21.205. 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.
表 I 有 1 筆交易的價格引用這則附註。