SEC Form 4 · accession 0001243786-16-000370
MOSAIC CO · MOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert L Lumpkins
Director
Period of report
Oct 3, 2016
Accepted (ET)
Oct 5, 2016 · 4:26 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 StockF1 | Oct 3, 2016 | M | 2,345 | $0.00 | A | 5,648 | D | |
| Common Stock | holding | — | — | — | 9,279 | I | By GRAT #6 dated April 2, 2015 | |
| Common Stock | holding | — | — | — | 13,202 | I | Robert L. Lumpkins Revocable Trust |
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 | Oct 3, 2016 | M | 3,350 | D | — | — | Common Stock | 3,350 | 0 | 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 |
| Restricted Stock UnitsF2,F7,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 10,129 | 10,129 | D |
Explanation of responses
- F1The reporting person, pursuant to the terms of the Restricted Stock Unit Agreement under which the award of restricted stock units was made, elected to receive 30% of the restricted stock units in the form of cash with the balance paid in the form of shares of common stock at the time the award was paid.
- 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 vested on May 19, 2016. Vested shares will be delivered to the reporting person on May 14, 2018.
- F7The restricted stock units will vest on the date of the issuer's 2017 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 19, 2019.