Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

MOSAIC CO Director's Dealing 2012

Oct 9, 2012

30554_dirs_2012-10-09_5b76cf8b-be3a-4a3b-af85-8b31c1c43644.zip

Director's Dealing

Open in viewer

Opens in your device viewer

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: MOSAIC CO (MOS)
CIK: 0001285785
Period of Report: 2012-06-05

Reporting Person: LUMPKINS ROBERT L (Director)

Non-Derivative Transactions

Date Security Code Shares Price A/D Holdings After Ownership
2012-10-04 Common Stock G 1286 $0.00 Disposed 1936 Indirect
2012-10-04 Common Stock G 1286 $0.00 Acquired 1286 Direct
2012-06-05 Common Stock G 5481 $0.00 Disposed 5694 Indirect
2012-07-11 Common Stock G 8648 $0.00 Acquired 8648 Indirect
2012-10-08 Common Stock M 2397 $0.00 Acquired 3683 Direct
2012-10-08 Common Stock G 3683 $0.00 Disposed 0 Direct
2012-10-08 Common Stock G 3683 $0.00 Acquired 3683 Indirect

Derivative Transactions

Date Security Exercise Price Code Shares A/D Expiration Underlying Ownership
2012-10-08 Restricted Stock Units $0.00 M 3423 Acquired Common Stock (3423) Direct
2012-10-04 Restricted Stock Units $0.00 A 4719 Acquired Common Stock (4719) Direct

Holdings (Non-Derivative)

Security Shares Ownership
Common Stock 3745 Indirect

Holdings (Derivative)

Security Exercise Price Expiration Underlying Shares Ownership
Restricted Stock Units $0.00 Common Stock (2763) 2763 Direct
Restricted Stock Units $0.00 Common Stock (4878) 4878 Direct

Footnotes

F1: One for one

F2: Not applicable

F3: The restricted stock units vested on October 8, 2010. Vested shares will be delivered to the reporting person on October 8, 2012.

F4: The restricted stock units vested on October 7, 2011. Vested shares will be delivered to the reporting person on October 7, 2013.

F5: On October 4, 2012, the reporting person indirectly held 3,222 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #2"). On that date, 1,286 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 1,936 shares remained held by GRAT #2.

F6: The restricted stock units vested on October 6, 2012. Vested shares will be delivered to the reporting person on October 6, 2014.

F7: 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.

F8: The restricted stock units vest on October 4, 2013. Vested shares will be delivered to the reporting person on October 4, 2015.

F9: On June 5, 2012, the reporting person indirectly held 11,175 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #4). On that date, 5,481 of the shares were distributed by GRAT #4 to reporting person in satisfaction of an annuity to reporting person and was exempt from reporting under Rule 16a-13, following which 5,694 shares remained held by GRAT #4.

F10: This transaction involved a gift of securities by the reporting person to a grantor retained annuity trust dated June 26, 2012, for the benefit of himself and his daughter ("GRAT #5"). The reporting person's spouse serves as trustee of GRAT #5.