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MOSAIC CO — Director's Dealing 2012
Oct 9, 2012
30554_dirs_2012-10-09_5b76cf8b-be3a-4a3b-af85-8b31c1c43644.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: 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.