0001243786-17-000142.txt : 20170821 0001243786-17-000142.hdr.sgml : 20170821 20170821164441 ACCESSION NUMBER: 0001243786-17-000142 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170818 FILED AS OF DATE: 20170821 DATE AS OF CHANGE: 20170821 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: 171043468 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_150334826677368.xml FORM 4 X0306 4 2017-08-18 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 2017-08-18 4 P 0 5000 19.9824 A 24736 I Robert L. Lumpkins Revocable Trust Common Stock 2017-08-21 4 P 0 2000 19.83 A 26736 I Robert L. Lumpkins Revocable Trust Common Stock 9339 D Common Stock 2745 I By GRAT #6 dated April 2, 2015 Restricted Stock Units 0.0 Common Stock 5707.0 5707 D Restricted Stock Units 0.0 Common Stock 10129.0 10129 D Restricted Stock Units 0.0 Common Stock 10503.0 10503 D The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.95 to $20.01, inclusive. The reporting person undertakes to provide to The Mosaic Company, any security holder of The Mosaic Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 1 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.82 to $19.84, inclusive. The reporting person undertakes to provide to The Mosaic Company, any security holder of The Mosaic Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2 to this Form 4. 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 will vest 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. /s/Mark J. Isaacson, Attorney-in-Fact for Robert L. Lumpkins 2017-08-21