SEC Form 4
Washington, D.C. 20549


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Ricard Corrine D.

(Last) (First) (Middle)

TAMPA FL 33602

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr VP - Mosaic Fertilizantes
3. Date of Earliest Transaction (Month/Day/Year)
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/21/2022 S(1) 10,000 D $67.001(2) 65,501 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $57.62 (3) 07/19/2022 Common Stock 7,284 7,284 D
Stock Option (Right to Buy) $54.03 (3) 07/18/2023 Common Stock 9,470 9,470 D
Stock Option (Right to Buy) $49.73 (3) 03/07/2024 Common Stock 10,644 10,644 D
Stock Option (Right to Buy) $50.43 (3) 03/05/2025 Common Stock 13,057 13,057 D
Stock Option (Right to Buy) $28.49 (3) 03/03/2026 Common Stock 27,877 27,877 D
Stock Option (Right to Buy) $30.42 (3) 03/02/2027 Common Stock 33,636 33,636 D
Restricted Stock Units $0.0(4) (5) (6) Common Stock 27,848 27,848 D
Restricted Stock Units $0.0(7) 03/05/2023 (6) Common Stock 24,707 24,707 D
Restricted Stock Units $0.0(7) 03/04/2024 (6) Common Stock 16,909 16,909 D
Restricted Stock Units $0.0(7) 03/03/2025 (6) Common Stock 12,217 12,217 D
Explanation of Responses:
1. The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2021.
2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.00 to $67.02, 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.
3. This Stock Option is 100% exercisable.
4. Restricted Stock Units ("RSU's") to be settled in cash based on the fair market value of issuer's common stock on the date of vesting.
5. Grant Date 11/15/2019; RSU's vest in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter. On each of the anniversary dates, the issuer shall cause to be paid the fair market value of the vested whole and fractional RSU's to the reporting person.
6. Not Applicable
7. One-for-One
/s/Mark J. Isaacson, Attorney-in-Fact for Corrine D. Ricard 03/22/2022
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.