Filing Details

Accession Number:
0001243786-18-000092
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-05-14 18:23:13
Reporting Period:
2018-05-02
Accepted Time:
2018-05-14 18:23:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1285785 Mosaic Co MOS () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1236005 L Robert Lumpkins C/O The Mosaic Company
3033 Campus Drive, Suite E490
Plymouth MN 55441
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-05-02 4,655 $27.14 4,655 No 4 P Indirect By GRAT #4 dated May 12, 2011
Common Stock Disposition 2018-05-03 4,655 $0.00 0 No 4 G Indirect By GRAT #4 dated May 12, 2011
Common Stock Acquisiton 2018-05-03 4,655 $0.00 13,994 No 4 G Direct
Common Stock Acquisiton 2018-05-14 3,994 $0.00 17,988 No 4 M Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By GRAT #4 dated May 12, 2011
No 4 G Indirect By GRAT #4 dated May 12, 2011
No 4 G Direct
No 4 M Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2018-05-14 5,707 $0.00 5,707 $0.00
Common Stock Restricted Stock Units Acquisiton 2018-05-10 5,497 $0.00 5,497 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
5,497 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,745 Indirect By GRAT #6 dated April 2, 2015
Common Stock 26,736 Indirect Robert L. Lumpkins Revocable Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Restricted Stock Units $0.00 10,129 10,129 Direct
Common Stock Restricted Stock Units $0.00 10,503 10,503 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
10,129 10,129 Direct
10,503 10,503 Direct
Footnotes
  1. On 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.
  2. The 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.
  3. One-for-One
  4. The 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.
  5. Not Applicable
  6. The 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.
  7. The 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.
  8. The 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.