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MOSAIC CO — Director's Dealing 2013
Jul 15, 2013
30554_dirs_2013-07-15_6bebd456-a44e-4c86-a292-e19c6af40b19.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: MOSAIC CO (MOS)
CIK: 0001285785
Period of Report: 2013-05-31
Reporting Person: LUMPKINS ROBERT L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-03-26 | Common Stock | G | 1960 | — | Disposed | 1785 | Indirect |
| 2013-03-26 | Common Stock | G | 1960 | — | Acquired | 5643 | Indirect |
| 2013-05-14 | Common Stock | G | 4251 | — | Disposed | 1443 | Indirect |
| 2013-05-14 | Common Stock | G | 4251 | — | Acquired | 9894 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1936 | Indirect |
| Common Stock | 8648 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0 | Common Stock (2763) | 2763 | Direct | |
| Restricted Stock Units | $0 | Common Stock (4878) | 4878 | Direct | |
| Restricted Stock Units | $0 | Common Stock (4719) | 4719 | Direct |
Footnotes
F1: One-for-One
F2: Not Applicable
F3: The restricted stock units vested on October 7, 2011. Vested shares will be delivered to the reporting person on October 7, 2013.
F4: The restricted stock units vested on October 6, 2012. Vested shares will be delivered to the reporting person on October 6, 2014.
F5: On March 26, 2013, the reporting person indirectly held 3,745 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #3"). On that date, 1,960 of the shares were distributed by GRAT #3 to the Robert L. Lumpkins Revocable Trust in satisfaction of an annuity to reporting person and was exempt from reporting under Rule 16a-13, following which 1,785 shares remained held by GRAT #3.
F6: On May 14, 2013, the reporting person indirectly held 5,694 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #4"). On that date, 4,251 of the shares were distributed by GRAT #4 to the Robert L. Lumpkins Revocable Trust in satisfaction of an annuity to the reporting person and was exempt from reporting under Rule 16a-13, following which 1,443 shares remained held by GRAT #4.
F7: The restricted stock units vest on October 4, 2013. Vested shares will be delivered to the reporting person on October 4, 2015.