SEC Form 4 · accession 0001243786-17-000126
MOSAIC CO · MOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert L Lumpkins
Director
Period of report
May 18, 2017
Accepted (ET)
May 22, 2017 · 10:23 am 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 | holding | — | — | — | 9,339 | D | ||
| Common Stock | holding | — | — | — | 2,745 | I | By GRAT #6 dated April 2, 2015 | |
| Common Stock | holding | — | — | — | 19,736 | 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 UnitsF1,F5,F3 | $0.00 | May 18, 2017 | A | 10,503 | A | — | — | Common Stock | 10,503 | 10,503 | D |
| Restricted Stock UnitsF1,F2,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 5,707 | 5,707 | D |
| Restricted Stock UnitsF1,F4,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 10,129 | 10,129 | D |
Explanation of responses
- F1One-for-One
- F2The restricted stock units vested 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.
- F3Not Applicable
- F4The restricted stock units vested 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.
- F5The restricted stock units will vest on the date of the issuer's 2018 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 18, 2020.