SEC Form 4 · accession 0001243786-18-000092
MOSAIC CO · MOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert L Lumpkins
Director
Period of report
May 2, 2018
Accepted (ET)
May 14, 2018 · 6:23 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 2, 2018 | P | 4,655 | $27.14 | A | 4,655 | I | By GRAT #4 dated May 12, 2011 |
| Common StockF1 | May 3, 2018 | G | 4,655 | $0.00 | D | 0 | I | By GRAT #4 dated May 12, 2011 |
| Common Stock | May 3, 2018 | G | 4,655 | $0.00 | A | 13,994 | D | |
| Common StockF2 | May 14, 2018 | M | 3,994 | $0.00 | A | 17,988 | D | |
| Common Stock | holding | — | — | — | 2,745 | I | By GRAT #6 dated April 2, 2015 | |
| Common Stock | holding | — | — | — | 26,736 | 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 UnitsF2,F3,F4,F5 | $0.00 | May 14, 2018 | M | 5,707 | D | — | — | Common Stock | 5,707 | 0 | D |
| Restricted Stock UnitsF3,F8,F5 | $0.00 | May 10, 2018 | A | 5,497 | A | — | — | Common Stock | 5,497 | 5,497 | D |
| Restricted Stock UnitsF3,F6,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 10,129 | 10,129 | D |
| Restricted Stock UnitsF3,F7,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 10,503 | 10,503 | D |
Explanation of responses
- F1On May 3, 2018, the reporting person indirectly held 4,655 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #4). On that date, 4,655 of the shares were distributed by GRAT #4 to the reporting person in satisfaction of an annuity to the reporting person and was exempt from reporting under Rule 16a-13, following which 0 shares remained held by GRAT #4.
- 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 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.
- F5Not Applicable
- F6The 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.
- F7The restricted stock units vested 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.
- F8The restricted stock units will vest on the date of the issuer's 2019 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 10, 2021.