SEC Form 4 · accession 0001243786-18-000127
MOSAIC CO · MOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Calvin O'Rourke
Officer — President & CEO · Director
Period of report
Aug 5, 2018
Accepted (ET)
Aug 6, 2018 · 5:06 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 | Aug 5, 2018 | M | 22,432 | $0.00 | A | 135,122 | D | |
| Common Stock | Aug 5, 2018 | F | 10,229 | $30.45 | D | 124,893 | D | |
| Common Stock | holding | — | — | — | 3,000 | I | Reporting Person's Spouse |
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 | $0.00 | Aug 5, 2018 | M | 22,432 | D | Aug 5, 2018 | — | Common Stock | 22,432 | 0 | D |
| Stock Option (Right to Buy)F4 | $52.72 | holding | — | — | — | — | Jul 27, 2019 | Common Stock | 12,019 | 12,019 | D |
| Stock Option (Right to Buy)F4 | $44.93 | holding | — | — | — | — | Jul 27, 2020 | Common Stock | 20,259 | 20,259 | D |
| Stock Option (Right to Buy)F4 | $70.62 | holding | — | — | — | — | Jul 21, 2021 | Common Stock | 16,150 | 16,150 | D |
| Stock Option (Right to Buy)F4 | $57.62 | holding | — | — | — | — | Jul 19, 2022 | Common Stock | 27,681 | 27,681 | D |
| Stock Option (Right to Buy)F4 | $54.03 | holding | — | — | — | — | Jul 18, 2023 | Common Stock | 29,987 | 29,987 | D |
| Stock Option (Right to Buy)F4 | $49.73 | holding | — | — | — | — | Mar 7, 2024 | Common Stock | 33,706 | 33,706 | D |
| Stock Option (Right to Buy)F4 | $50.43 | holding | — | — | — | — | Mar 5, 2025 | Common Stock | 37,306 | 37,306 | D |
| Stock Option (Right to Buy)F5 | $28.49 | holding | — | — | — | — | Mar 3, 2026 | Common Stock | 179,211 | 179,211 | D |
| Stock Option (Right to Buy)F6 | $30.42 | holding | — | — | — | — | Mar 2, 2027 | Common Stock | 168,180 | 168,180 | D |
| Restricted Stock UnitsF2,F3 | $0.00 | holding | — | — | — | Mar 8, 2021 | — | Common Stock | 68,401 | 68,401 | D |
Explanation of responses
- F1Shares sold to cover tax liability incurred as a result of most recent vesting of restricted stock and performance units.
- F2One-for-One
- F3Not Applicable
- F4This Stock Option is 100% exercisable.
- F5Grant 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.
- F6Grant 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.