SEC Form 5 · accession 0001243786-16-000201
MOSAIC CO · MOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert L Lumpkins
Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 12, 2016 · 1:51 pm EST
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 StockF1 | Jun 29, 2015 | G | 3,031 | $0.00 | D | 0 | I | By GRAT #5 dated June 25, 2012 |
| Common Stock | Jun 29, 2015 | G | 3,031 | $0.00 | A | 3,031 | I | Robert L. Lumpkins Revocable Trust |
| Common Stock | holding | — | — | — | 3,303 | D | ||
| Common Stock | holding | — | — | — | 16,450 | I | By GRAT #6 dated April 2, 2015 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 3,350 | 3,350 | D |
| Restricted Stock UnitsF2,F5,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 5,274 | 5,274 | D |
| Restricted Stock UnitsF2,F6,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 5,707 | 5,707 | D |
Explanation of responses
- F1On June 29, 2015, the reporting person indirectly held 3,031 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #5). On that date, 3,031 of the shares were distributed by GRAT #5 to the Robert L. Lumpkins Revocable Trust in satisfaction of an annuity to the reporting person and was exempt from reporting under Rule 16a-13.
- F2One-for-One
- F3The restricted stock units vested on May 15, 2014. Vested shares will be delivered to the reporting person on October 3, 2016.
- F4Not applicable
- F5The restricted stock units vested on May 14, 2015. Vested shares will be delivered to the reporting person on May 15, 2017.
- F6The restricted stock units will vest on the date of the issuer's 2016 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 14, 2018.