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MOSAIC CO — Director's Dealing 2016
Feb 12, 2016
30554_dirs_2016-02-12_8204ef71-ef4d-4e1d-94e5-34e3d864240e.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: 2015-12-31
Reporting Person: LUMPKINS ROBERT L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-06-29 | Common Stock | G | 3031 | — | Disposed | 0 | Indirect |
| 2015-06-29 | Common Stock | G | 3031 | — | Acquired | 3031 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3303 | Direct |
| Common Stock | 16450 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0.0 | Common Stock (3350.0) | 3350 | Direct | |
| Restricted Stock Units | $0.0 | Common Stock (5274.0) | 5274 | Direct | |
| Restricted Stock Units | $0.0 | Common Stock (5707.0) | 5707 | Direct |
Footnotes
F1: On June 29, 2015, the reporting person indirectly held 3,031 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #5). On that date, 3,031 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.
F2: One-for-One
F3: The restricted stock units vested on May 15, 2014. Vested shares will be delivered to the reporting person on October 3, 2016.
F4: Not applicable
F5: The restricted stock units vested on May 14, 2015. Vested shares will be delivered to the reporting person on May 15, 2017.
F6: The restricted stock units will vest on the date of the issuer's 2016 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 14, 2018.