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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 127.21 | (3) | 07/31/2018 | Common Stock | 1,152 | 1,152 | D | ||||||||
Stock Option (Right to Buy) | $ 52.72 | (3) | 07/27/2019 | Common Stock | 2,246 | 2,246 | D | ||||||||
Stock Option (Right to Buy) | $ 44.93 | (3) | 07/27/2020 | Common Stock | 2,598 | 2,598 | D | ||||||||
Stock Option (Right to Buy) | $ 70.62 | (3) | 07/21/2021 | Common Stock | 1,480 | 1,480 | D | ||||||||
Stock Option (Right to Buy) | $ 50.43 | (3) | 03/05/2025 | Common Stock | 7,461 | 7,461 | D | ||||||||
Stock Option (Right to Buy) | $ 28.49 | (4) | 03/03/2026 | Common Stock | 19,912 | 19,912 | D | ||||||||
Stock Option (Right to Buy) | $ 30.42 | (5) | 03/02/2027(5) | Common Stock | 20,182 | 20,182 | D | ||||||||
Phantom Stock | (6) | 03/05/2018 | A | 660 | (7) | (7) | Common Stock | 660 | $ 0 | 660 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Isaacson Mark J. C/O THE MOSAIC COMPANY 3033 CAMPUS DRIVE, SUITE E490 PLYMOUTH, MN 55441 |
SVP, Gen. Counsel & Corp. Sec. |
/s/ Mark J. Isaacson | 03/07/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares issued to reporting person upon the vesting of a performance unit award granted to reporting person on March 5, 2015. The performance unit award was not a derivative security. |
(2) | Shares sold to cover tax liability incurred as a result of most recent vesting of performance units. |
(3) | This Stock Option is 100% exercisable. |
(4) | Grant Date 03/03/2016; option becomes exercisable in three equal installments commencing on the first anniversary of the grant date and on each anniversary thereafter. |
(5) | 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. |
(6) | Each share of phantom stock represents a right to receive one share of common stock. |
(7) | The phantom stock was deferred by the reporting person pursuant to the issuer's LTI Deferral Plan upon the vesting of a performance unit award granted to reporting person on March 5, 2015 and becomes payable in five equal installments commencing on January 30, 2023, and continuing on each anniversary thereafter. |