SEC Form 4 · accession 0001243786-15-000111
MOSAIC CO · MOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard L Mack
Officer — EVP, Chief Financial Officer
Period of report
Jun 1, 2015
Accepted (ET)
Jun 2, 2015 · 1:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001285785
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 1, 2015 | M | 9,582 | $17.29 | A | 88,334 | D | |
| Common StockF2 | Jun 1, 2015 | S | 9,582 | $45.4431 | D | 78,752 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $17.29 | Jun 1, 2015 | M | 9,582 | D | — | Aug 1, 2015 | Common Stock | 9,582 | 0 | D |
| Stock Option (Right to Buy)F3 | $15.45 | holding | — | — | — | — | Aug 4, 2016 | Common Stock | 47,319 | 47,319 | D |
| Stock Option (Right to Buy)F3 | $40.03 | holding | — | — | — | — | Aug 2, 2017 | Common Stock | 19,368 | 19,368 | D |
| Stock Option (Right to Buy)F3 | $127.21 | holding | — | — | — | — | Jul 31, 2018 | Common Stock | 5,486 | 5,486 | D |
| Stock Option (Right to Buy)F3 | $52.72 | holding | — | — | — | — | Jul 27, 2019 | Common Stock | 10,216 | 10,216 | D |
| Stock Option (Right to Buy)F3 | $44.93 | holding | — | — | — | — | Jul 27, 2020 | Common Stock | 15,194 | 15,194 | D |
| Stock Option (Right to Buy)F3 | $70.62 | holding | — | — | — | — | Jul 21, 2021 | Common Stock | 10,767 | 10,767 | D |
| Restricted Stock UnitsF4,F5 | $0.00 | holding | — | — | — | Jul 19, 2015 | — | Common Stock | 6,942 | 6,942 | D |
| Stock Option (Right to Buy)F6 | $57.62 | holding | — | — | — | — | Jul 19, 2022 | Common Stock | 17,483 | 17,483 | D |
| Restricted Stock UnitsF4,F5 | $0.00 | holding | — | — | — | Jul 18, 2016 | — | Common Stock | 7,403 | 7,403 | D |
| Stock Option (Right to Buy)F7 | $54.03 | holding | — | — | — | — | Jul 18, 2023 | Common Stock | 18,939 | 18,939 | D |
| Restricted Stock UnitsF4,F5 | $0.00 | holding | — | — | — | Mar 7, 2017 | — | Common Stock | 8,043 | 8,043 | D |
| Stock Option (Right to Buy)F8 | $49.73 | holding | — | — | — | — | Mar 7, 2024 | Common Stock | 21,288 | 21,288 | D |
| Stock Option (Right to Buy)F9 | $50.43 | holding | — | — | — | — | Mar 5, 2025 | Common Stock | 24,249 | 24,249 | D |
| Restricted Stock UnitsF4,F10,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 21,949 | 21,949 | D |
Explanation of responses
- F1The stock option exercise and sale were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2015, relating to reporting person's stock options that are expiring on August 1, 2015.
- F10Grant Date 5/14/2015; restricted stock units vest in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.16 to $45.935, inclusive. The reporting person undertakes to provide to The Mosaic Company, any security holder of The Mosaic Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2 to this Form 4.
- F3This Stock Option is 100% exercisable.
- F4One-for-One
- F5Not Applicable
- F6Grant Date 07/19/2012; option becomes exercisable in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter.
- F7Grant Date 07/18/2013; option becomes exercisable in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter.
- F8Grant Date 03/07/2014; option becomes exercisable in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter.
- F9Grant Date 03/05/2015; option becomes exercisable in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter.