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MOSAIC CO — Director's Dealing 2014
May 16, 2014
30554_dirs_2014-05-16_e02abd55-a688-4c40-8340-341e123e27be.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: 2014-03-26
Reporting Person: LUMPKINS ROBERT L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-26 | Common Stock | G | 1785 | $0.00 | Disposed | 0 | Indirect |
| 2014-05-15 | Common Stock | G | 1443 | $0.00 | Disposed | 0 | Indirect |
| 2014-03-26 | Common Stock | G | 1785 | $0.00 | Acquired | 3486 | Indirect |
| 2014-05-15 | Common Stock | G | 1443 | $0.00 | Acquired | 4929 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-05-15 | Restricted Stock Units | $0.00 | A | 5274 | Acquired | Common Stock (5274) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5977 | Indirect |
| Common Stock | 5160 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0.00 | Common Stock (4878) | 4878 | Direct | |
| 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: On March 26, 2014, the reporting person indirectly held 1,785 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #3"). On that date, 1,785 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.
F7: On May 15, 2014, the reporting person indirectly held 1,443 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #4"). On that date, 1,443 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.
F8: 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.