0001243786-18-000092.txt : 20180514
0001243786-18-000092.hdr.sgml : 20180514
20180514182313
ACCESSION NUMBER: 0001243786-18-000092
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180502
FILED AS OF DATE: 20180514
DATE AS OF CHANGE: 20180514
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LUMPKINS ROBERT L
CENTRAL INDEX KEY: 0001236005
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32327
FILM NUMBER: 18832381
MAIL ADDRESS:
STREET 1: THE MOSAIC COMPANY
STREET 2: 3033 CAMPUS DRIVE, SUITE E490
CITY: PLYMOUTH
STATE: MN
ZIP: 55441
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: MOSAIC CO
CENTRAL INDEX KEY: 0001285785
STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE CHEMICALS [2870]
IRS NUMBER: 201026454
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3033 CAMPUS DRIVE, SUITE E490
CITY: PLYMOUTH
STATE: MN
ZIP: 55441
BUSINESS PHONE: 7635772700
MAIL ADDRESS:
STREET 1: 3033 CAMPUS DRIVE, SUITE E490
CITY: PLYMOUTH
STATE: MN
ZIP: 55441
FORMER COMPANY:
FORMER CONFORMED NAME: GLOBAL NUTRITION SOLUTIONS INC
DATE OF NAME CHANGE: 20040401
4
1
wf-form4_152633653434704.xml
FORM 4
X0306
4
2018-05-02
0
0001285785
MOSAIC CO
MOS
0001236005
LUMPKINS ROBERT L
C/O THE MOSAIC COMPANY
3033 CAMPUS DRIVE, SUITE E490
PLYMOUTH
MN
55441
1
0
0
0
Common Stock
2018-05-02
4
P
0
4655
27.14
A
4655
I
By GRAT #4 dated May 12, 2011
Common Stock
2018-05-03
4
G
0
4655
0
D
0
I
By GRAT #4 dated May 12, 2011
Common Stock
2018-05-03
4
G
0
4655
0
A
13994
D
Common Stock
2018-05-14
4
M
0
3994
0
A
17988
D
Common Stock
2745
I
By GRAT #6 dated April 2, 2015
Common Stock
26736
I
Robert L. Lumpkins Revocable Trust
Restricted Stock Units
0.0
2018-05-14
4
M
0
5707
0
D
Common Stock
5707.0
0
D
Restricted Stock Units
0.0
Common Stock
10129.0
10129
D
Restricted Stock Units
0.0
Common Stock
10503.0
10503
D
Restricted Stock Units
0.0
2018-05-10
4
A
0
5497
0
A
Common Stock
5497.0
5497
D
On May 3, 2018, the reporting person indirectly held 4,655 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #4). On that date, 4,655 of the shares were distributed by GRAT #4 to the reporting person in satisfaction of an annuity to the reporting person and was exempt from reporting under Rule 16a-13, following which 0 shares remained held by GRAT #4.
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.
One-for-One
The restricted stock units vested 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.
Not Applicable
The restricted stock units vested on the date of the issuer's 2017 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 19, 2019.
The restricted stock units vested on the date of the issuer's 2018 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 18, 2020.
The restricted stock units will vest on the date of the issuer's 2019 Annual Meeting of Stockholders. Vested shares will be delivered to the reporting person on May 10, 2021.
/s/Mark J. Isaacson, Attorney-in-Fact for Robert L. Lumpkins
2018-05-14