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MOSAIC CO — Director's Dealing 2021
Feb 12, 2021
30554_dirs_2021-02-12_de178d77-0464-4043-a071-574bf78a1bc6.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: 2020-12-31
Reporting Person: O'Rourke James Calvin (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-04-02 | Common Stock | G | 103452 | — | Disposed | 54893 | Indirect |
| 2020-04-02 | Common Stock | G | 103452 | — | Acquired | 128452 | Direct |
| 2020-05-28 | Common Stock | G | 54893 | — | Disposed | 0 | Indirect |
| 2020-05-28 | Common Stock | G | 128452 | — | Disposed | 0 | Direct |
| 2020-05-28 | Common Stock | G | 183345 | — | Acquired | 183345 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $70.62 | 2021-07-21 | Common Stock (16150.0) | 16150 | Direct |
| Stock Option (Right to Buy) | $57.62 | 2022-07-19 | Common Stock (27681.0) | 27681 | Direct |
| Stock Option (Right to Buy) | $54.03 | 2023-07-18 | Common Stock (29987.0) | 29987 | Direct |
| Stock Option (Right to Buy) | $49.73 | 2024-03-07 | Common Stock (33706.0) | 33706 | Direct |
| Stock Option (Right to Buy) | $50.43 | 2025-03-05 | Common Stock (37306.0) | 37306 | Direct |
| Stock Option (Right to Buy) | $28.49 | 2026-03-03 | Common Stock (179211.0) | 179211 | Direct |
| Stock Option (Right to Buy) | $30.42 | 2027-03-02 | Common Stock (168180.0) | 168180 | Direct |
| Restricted Stock Units | $0.0 | Common Stock (68401.0) | 68401 | Direct | |
| Restricted Stock Units | $0.0 | Common Stock (82378.0) | 82378 | Direct | |
| Restricted Stock Units | $0.0 | Common Stock (121989.0) | 121989 | Direct |
Footnotes
F1: On April 2, 2020, the reporting person indirectly held 158,345 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his spouse ("2019 GRAT"). On that date, 103,452 of the shares were distributed by 2019 GRAT to the reporting person in satisfaction of an annuity to the reporting person and was exempt from reporting under Rule 16a-13.
F2: This transaction involved a gift of securities by the reporting person's 2019 GRAT dated April 1, 2019 to a grantor retained annuity trust effective as of May 21, 2020, for the benefit of reporting person and his spouse ("2020 GRAT"). The reporting person serves as trustee of the 2020 GRAT.
F3: This transaction involved a gift of securities by the reporting person to the reporting person's 2020 GRAT.
F4: This Stock Option is 100% exercisable.
F5: Grant Date 03/02/2017; option becomes exercisable in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter.
F6: One-for-One
F7: Not Applicable