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MOSAIC CO — Director's Dealing 2014
Oct 8, 2014
30554_dirs_2014-10-08_869f8c11-b0fb-4977-b021-8b892af50801.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: 2014-07-15
Reporting Person: LUMPKINS ROBERT L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-07-15 | Common Stock | G | 2946 | $0.00 | Disposed | 3031 | Indirect |
| 2014-07-15 | Common Stock | G | 2946 | $0.00 | Acquired | 7875 | Indirect |
| 2014-10-06 | Common Stock | M | 3415 | $0.00 | Acquired | 8575 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-10-06 | Restricted Stock Units | $0.00 | M | 4878 | Disposed | Common Stock (4878) | Direct | |
| 2014-05-15 | Restricted Stock Units | $0.00 | A | 5274 | Acquired | Common Stock (5274) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0.00 | Common Stock (4719) | 4719 | Direct | |
| Restricted Stock Units | $0.00 | Common Stock (3350) | 3350 | Direct |
Footnotes
F1: One for one
F2: Not applicable
F3: The restricted stock units vested on October 6, 2012. Vested shares will be delivered to the reporting person on October 6, 2014.
F4: The restricted stock units vested on October 4, 2013. Vested shares will be delivered to the reporting person on October 4, 2015.
F5: The restricted stock units vested on May 15, 2014. Vested shares will be delivered to the reporting person on October 3, 2016.
F6: The restricted stock units will vest on the date of the issuer's 2015 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 15, 2017.
F7: On July 15, 2014, the reporting person indirectly held 5,977 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #5). On that date, 2,946 of the shares were distributed by GRAT #5 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 5,977 shares remained held by GRAT #5.
F8: 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.