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MOSAIC CO — Director's Dealing 2011
Oct 11, 2011
30554_dirs_2011-10-11_504bb95e-8122-47a4-9f45-59bb445e1eaf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MOSAIC CO (MOS)
CIK: 0001285785
Period of Report: 2011-10-03
Reporting Person: LUMPKINS ROBERT L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-10-03 | Common Stock | G | 1111 | $0.00 | Disposed | 3222 | Indirect |
| 2011-10-03 | Common Stock | G | 1111 | $0.00 | Acquired | 1111 | Direct |
| 2011-10-09 | Common Stock | M | 4655 | $0.00 | Acquired | 5766 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-10-09 | Restricted Stock Units | $0.00 | M | 4655 | Disposed | Common Stock (4655) | Direct | |
| 2011-10-06 | Restricted Stock Units | $0.00 | A | 4878 | Acquired | Common Stock (4878) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5801 | Indirect |
| Common Stock | 11175 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0.00 | Common Stock (3423) | 3423 | Direct | |
| Restricted Stock Units | $0.00 | Common Stock (2763) | 2763 | Direct |
Footnotes
F1: One for one
F2: Not applicable
F3: The restricted stock units vested on October 9, 2009. Vested shares will be delivered to the reporting person on October 9, 2011.
F4: The restricted stock units vested on October 8, 2010. Vested shares will be delivered to the reporting person on October 8, 2012.
F5: The restricted stock units vested on October 7, 2011. Vested shares will be delivered to the reporting person on October 7, 2013.
F6: On October 3, 2011, the reporting person indirectly held 4,333 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #2"). On that date, 1,111 shares were distributed by GRAT #2 to reporting person in satisfaction of an annuity to reporting person and was exempt from reporting under Rule 16a-13, following which 3,222 shares remained held by GRAT #2.
F7: The restricted stock units vest on October 6, 2012. Vested shares will be delivered to the reporting person on October 6, 2014.