SEC Form 4 · accession 0001243786-16-000332
MOSAIC CO · MOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Richard L Mack
Officer — EVP, Chief Financial Officer
Period of report
Jul 18, 2016
Accepted (ET)
Jul 20, 2016 · 7:45 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 | Jul 18, 2016 | M | 7,403 | $0.00 | A | 106,906 | D | |
| Common Stock | Jul 18, 2016 | A | 3,419 | $0.00 | A | 110,325 | D | |
| Common Stock | Jul 18, 2016 | F | 5,608 | $29.28 | D | 104,717 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | $0.00 | Jul 18, 2016 | M | 7,403 | D | Jul 18, 2016 | — | Common Stock | 7,403 | 0 | 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 |
| Stock Option (Right to Buy)F3 | $57.62 | holding | — | — | — | — | Jul 19, 2022 | Common Stock | 17,483 | 17,483 | D |
| Stock Option (Right to Buy)F6 | $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)F7 | $49.73 | holding | — | — | — | — | Mar 7, 2024 | Common Stock | 21,288 | 21,288 | D |
| Stock Option (Right to Buy)F8 | $50.43 | holding | — | — | — | — | Mar 5, 2025 | Common Stock | 24,249 | 24,249 | D |
| Restricted Stock UnitsF4,F9,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 14,633 | 14,633 | D |
| Stock Option (Right to Buy)F10 | $28.49 | holding | — | — | — | — | Mar 3, 2026 | Common Stock | 51,772 | 51,772 | D |
Explanation of responses
- F1Shares issued to reporting person upon the vesting of a performance unit award granted to reporting person on July 18, 2013. The performance unit award was not a derivative security.
- F10Grant 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.
- F2Shares sold to cover tax liability incurred as a result of most recent vesting of Restricted Stock Units and Performance Units.
- F3This Stock Option is 100% exercisable.
- F4One-for-One
- F5Not Applicable
- F6Grant 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.
- F7Grant 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.
- F8Grant 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.
- F9Grant 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.