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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee stock option (right to buy) Granted on 2/5/1998
|
02/06/2002 |
02/05/2008 |
Common stock
|
10,000
|
$
42
|
D
|
Â
|
Employee stock option (right to buy) Granted on 1/14/1999
|
01/15/2003 |
01/14/2009 |
Common stock
|
20,000
|
$
22.5
|
D
|
Â
|
Employee stock option (right to buy) Granted on 05/22/2002
|
05/22/2005 |
05/22/2012 |
Common stock
|
30,000
|
$
20.04
|
D
|
Â
|
Employee stock option (right to buy) Granted on 07/31/2003
|
12/28/2005 |
07/31/2013 |
Common stock
|
32,000
|
$
19.43
|
D
|
Â
|
Employee stock option (right to buy) Granted on 04/30/2004
|
12/28/2005 |
04/30/2014 |
Common stock
|
34,000
|
$
16.96
|
D
|
Â
|
Employee stock option (right to buy) Granted on 05/19/2005
|
12/28/2005 |
05/19/2015 |
Common stock
|
15,000
|
$
18.81
|
D
|
Â
|
Employee stock option (right to buy) Granted on 08/01/2005
|
12/28/2005 |
08/01/2015 |
Common stock
|
34,000
|
$
18.71
|
D
|
Â
|
Employee stock option (right to buy) Granted on 08/01/2006
|
Â
(1)
|
08/01/2016 |
Common stock
|
17,000
|
$
17.94
|
D
|
Â
|
Restricted Stock Units Granted on 8/1/2006
|
Â
(2)
|
Â
(2)
|
Common stock
|
6,000
|
$
(3)
|
D
|
Â
|
Employee stock option (right to buy) Granted on 08/01/2007
|
Â
(4)
|
08/01/2017 |
Common stock
|
13,875
|
$
23.58
|
D
|
Â
|
Restricted Stock Units Granted on 8/1/2007
|
Â
(2)
|
Â
(2)
|
Common stock
|
6,500
|
$
(5)
|
D
|
Â
|
* |
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 became exercisable as to 33% of the shares on 8/1/2007, will become exercisable as to an additional 33% of the shares on 8/1/2008 and will become fully exercisable on 8/1/2009. |
(2) |
The Restricted Stock Units (the "RSUs" or the "Units") will vest as to 50% of the Units on 8/1/2008 and as to the remaining 50% of the Units on 8/1/2009. On each vesting date, for each Unit vesting on such date, the reporting person will receive one share of Common Stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of such share on the date of vesting), subject to tax withholding. |
(3) |
Each Unit represents a contingent right to receive one share of Common Stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of such share). The RSUs are accompanied by dividend equivalent rights. |
(4) |
The option will become exercisable as to 33% of the shares on 8/1/2008 and as to an additional 33% of the shares on 8/1/2009, and the option will become fully exercisable on 8/1/2010. |
(5) |
The RSUs will vest as to 50% of the Units on 8/1/2009 and as to the remaining 50% of the Units on 8/1/2010. On each vesting date, for each Unit vesting on such date, the reporting person will receive one share of Common Stock (or, at the election of Mattel, Inc., a cash amount equal to the fair market value of such share on the date of vesting), subject to tax withholding. |