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