SEC Form 4 · accession 0001243786-17-000103
MOSAIC CO · MOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert L Lumpkins
Director
Period of report
Apr 11, 2017
Accepted (ET)
May 17, 2017 · 12:48 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 | Apr 11, 2017 | G | 6,534 | $0.00 | D | 2,745 | I | By GRAT #6 dated April 2, 2015 |
| Common Stock | Apr 11, 2017 | G | 6,534 | $0.00 | A | 19,736 | I | Robert L. Lumpkins Revocable Trust |
| Common StockF2 | May 15, 2017 | M | 3,691 | $0.00 | A | 9,339 | 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 UnitsF2,F3,F4,F5 | $0.00 | May 15, 2017 | M | 5,274 | D | — | — | Common Stock | 5,274 | 0 | D |
| Restricted Stock UnitsF3,F6,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 5,707 | 5,707 | D |
| Restricted Stock UnitsF3,F7,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 10,129 | 10,129 | D |
Explanation of responses
- F1On April 11, 2017, the reporting person indirectly held 9,279 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #6"). On that date, 6,534 shares were distributed by GRAT #6 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.
- F2The 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.
- F3One for one
- F4The restricted stock units will vest on the date of the issuer's 2015 Annual Meeting of Stockholders. Vested shares were delivered to the reporting person on May 15, 2017.
- F5Not applicable
- 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.
- 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.