SEC Form 4 · accession 0001243786-17-000082
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 14, 2017
Accepted (ET)
May 16, 2017 · 3:00 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 14, 2017 | M | 7,316 | $0.00 | A | 143,417 | D | |
| Common StockF1 | May 14, 2017 | F | 3,790 | $22.91 | D | 139,627 | 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 UnitsF3,F4,F5 | $0.00 | May 14, 2017 | M | 7,316 | D | — | — | Common Stock | 7,316 | 7,317 | D |
| Stock Option (Right to Buy)F2 | $40.03 | holding | — | — | — | — | Aug 2, 2017 | Common Stock | 19,368 | 19,368 | D |
| Stock Option (Right to Buy)F2 | $127.21 | holding | — | — | — | — | Jul 31, 2018 | Common Stock | 5,486 | 5,486 | D |
| Stock Option (Right to Buy)F2 | $52.72 | holding | — | — | — | — | Jul 27, 2019 | Common Stock | 10,216 | 10,216 | D |
| Stock Option (Right to Buy)F2 | $44.93 | holding | — | — | — | — | Jul 27, 2020 | Common Stock | 15,194 | 15,194 | D |
| Stock Option (Right to Buy)F2 | $70.62 | holding | — | — | — | — | Jul 21, 2021 | Common Stock | 10,767 | 10,767 | D |
| Stock Option (Right to Buy)F2 | $57.62 | holding | — | — | — | — | Jul 19, 2022 | Common Stock | 17,483 | 17,483 | D |
| Stock Option (Right to Buy)F2 | $54.03 | holding | — | — | — | — | Jul 18, 2023 | Common Stock | 18,939 | 18,939 | D |
| Stock Option (Right to Buy)F2 | $49.73 | holding | — | — | — | — | Mar 7, 2024 | Common Stock | 21,288 | 21,288 | D |
| Stock Option (Right to Buy)F6 | $50.43 | holding | — | — | — | — | Mar 5, 2025 | Common Stock | 24,249 | 24,249 | D |
| Stock Option (Right to Buy)F7 | $28.49 | holding | — | — | — | — | Mar 3, 2026 | Common Stock | 51,772 | 51,772 | D |
| Stock Option (Right to Buy)F8 | $30.42 | holding | — | — | — | — | Mar 2, 2027 | Common Stock | 50,454 | 50,454 | D |
Explanation of responses
- F1Shares withheld by issuer to cover tax liability incurred as a result of most recent vesting of restricted stock units.
- F2This Stock Option is 100% exercisable.
- F3One-for-One
- F4Grant Date 5/14/2015; of the original grant, 7,316 restricted stock units vested on each of the first and second anniversaries of the grant date and the remaining 7,317 restricted stock units will vest on May 14, 2018.
- F5Not Applicable
- F6Grant 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.
- F7Grant 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.
- F8Grant Date 03/02/2017; option becomes exercisable in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter.