SEC Form 4 · accession 0001243786-16-000285
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
May 12, 2016
Accepted (ET)
May 16, 2016 · 6:16 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 | May 12, 2016 | M | 9,500 | $15.45 | A | 94,524 | D | |
| Common StockF1 | May 12, 2016 | S | 9,500 | $26.001 | D | 85,024 | D | |
| Common Stock | May 13, 2016 | M | 37,819 | $15.45 | A | 122,843 | D | |
| Common StockF2 | May 13, 2016 | S | 27,129 | $25.2328 | D | 95,714 | D | |
| Common Stock | May 14, 2016 | M | 7,316 | $0.00 | A | 103,030 | D | |
| Common StockF3 | May 14, 2016 | F | 3,527 | $24.84 | D | 99,503 | 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)F4 | $15.45 | May 12, 2016 | M | 9,500 | D | — | Aug 4, 2016 | Common Stock | 9,500 | 37,819 | D |
| Stock Option (Right to Buy)F4 | $15.45 | May 13, 2016 | M | 37,819 | D | — | Aug 4, 2016 | Common Stock | 37,819 | 0 | D |
| Restricted Stock UnitsF5,F10,F6 | $0.00 | May 14, 2016 | M | 7,316 | D | — | — | Common Stock | 7,316 | 14,633 | D |
| Stock Option (Right to Buy)F4 | $40.03 | holding | — | — | — | — | Aug 2, 2017 | Common Stock | 19,368 | 19,368 | D |
| Stock Option (Right to Buy)F4 | $127.21 | holding | — | — | — | — | Jul 31, 2018 | Common Stock | 5,486 | 5,486 | D |
| Stock Option (Right to Buy)F4 | $52.72 | holding | — | — | — | — | Jul 27, 2019 | Common Stock | 10,216 | 10,216 | D |
| Stock Option (Right to Buy)F4 | $44.93 | holding | — | — | — | — | Jul 27, 2020 | Common Stock | 15,194 | 15,194 | D |
| Stock Option (Right to Buy)F4 | $70.62 | holding | — | — | — | — | Jul 21, 2021 | Common Stock | 10,767 | 10,767 | D |
| Stock Option (Right to Buy)F4 | $57.62 | holding | — | — | — | — | Jul 19, 2022 | Common Stock | 17,483 | 17,483 | D |
| Restricted Stock UnitsF5,F6 | $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 UnitsF5,F6 | $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 |
| Stock Option (Right to Buy)F11 | $28.49 | holding | — | — | — | — | Mar 3, 2026 | Common Stock | 51,772 | 51,772 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.75 to $26.30, 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 1 to this Form 4.
- 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.
- F11Grant Date 03/03/2016; option becomes exercisable 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 $25.00 to $25.53, 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.
- F3Shares sold to cover tax liability incurred as a result of most recent vesting of Restricted Stock Units.
- F4This Stock Option is 100% exercisable.
- F5One-for-One
- F6Not Applicable
- 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.