Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MOSAIC COMOS · Entity 3647 | Director | May 19, 2019 | May 21, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
MOSAIC CO
Report date May 19, 2019 · Filed May 21, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,520 |
Reported balance
After 2019-05-19 transaction · row 1
1 source rowRow 1 · 2019-05-19 · Exercise / conversion · Acquired 2,532 · Balance 20,520 F1: The reporting person, pursuant to the issuer's LTI Deferral Plan, elected to receive 25% of the shares subject to the restricted stock unit award granted to reporting person on May 19, 2016, on May 19, 2019, and the remaining shares in five equal installments commencing on January 30, 2022, and continuing on each anniversary thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2019-05-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-05-19 · Exercise / conversion · Disposed 10,129 · Balance 0 F2: One-for-One F3: 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. F4: Not applicable |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 10,503 |
Reported balance
Holding disclosure · report date 2019-05-19 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 10,503 F2: One-for-One F5: 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. F4: Not applicable |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 5,497 |
Reported balance
Holding disclosure · report date 2019-05-19 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 5,497 F2: One-for-One F6: 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. F4: Not applicable |
| Deferred Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 7,597 |
Reported balance
After 2019-05-19 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-05-19 · Grant · Acquired 7,597 · Balance 7,597 F7: Each deferred restricted stock unit represents a right to receive one share of common stock. F8: The deferred restricted stock units were deferred by the reporting person pursuant to the issuer's LTI Deferral Plan upon the vesting of a restricted stock unit award granted to reporting person on May 19, 2016, and become payable in five equal installments commencing on January 30, 2022, and continuing on each anniversary thereafter. |
| Common StockSEC Table I · non-derivative | IndirectBy GRAT #6 dated April 2, 2015 | 2,745 |
Reported balance
Holding disclosure · report date 2019-05-19 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,745 |
| Common StockSEC Table I · non-derivative | IndirectRobert L. Lumpkins Revocable Trust | 26,736 |
Reported balance
Holding disclosure · report date 2019-05-19 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 26,736 |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person, pursuant to the issuer's LTI Deferral Plan, elected to receive 25% of the shares subject to the restricted stock unit award granted to reporting person on May 19, 2016, on May 19, 2019, and the remaining shares in five equal installments commencing on January 30, 2022, and continuing on each anniversary thereafter.
F2: One-for-One
F3: 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.
F4: Not applicable
F5: 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.
F6: 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.
F7: Each deferred restricted stock unit represents a right to receive one share of common stock.
F8: The deferred restricted stock units were deferred by the reporting person pursuant to the issuer's LTI Deferral Plan upon the vesting of a restricted stock unit award granted to reporting person on May 19, 2016, and become payable in five equal installments commencing on January 30, 2022, and continuing on each anniversary thereafter.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 19, 2019 Filed May 21, 2019 17:31 UTC | MOSAIC CO MOS · Entity 3647 | GrantDeferred Restricted Stock Unit · Derivative | 7,597 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-19-000073 · wf-form4_155845987459810.xml · derivative · entry 7 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,597 Underlying: Common Stock · 7,597 shares Expires not disclosed F7 · derivative.exercise_price: Each deferred restricted stock unit represents a right to receive one share of common stock. F8 · derivative.exercise_date: The deferred restricted stock units were deferred by the reporting person pursuant to the issuer's LTI Deferral Plan upon the vesting of a restricted stock unit award granted to reporting person on May 19, 2016, and become payable in five equal installments commencing on January 30, 2022, and continuing on each anniversary thereafter. F8 · derivative.expiration_date: The deferred restricted stock units were deferred by the reporting person pursuant to the issuer's LTI Deferral Plan upon the vesting of a restricted stock unit award granted to reporting person on May 19, 2016, and become payable in five equal installments commencing on January 30, 2022, and continuing on each anniversary thereafter. Read SEC document |
| May 19, 2019 Filed May 21, 2019 17:31 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 10,129 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-19-000073 · wf-form4_155845987459810.xml · derivative · entry 4 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,129 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: One-for-One F3 · derivative.exercise_date: 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. F4 · derivative.expiration_date: Not applicable Read SEC document |
| May 19, 2019 Filed May 21, 2019 17:31 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 2,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-19-000073 · wf-form4_155845987459810.xml · nonDerivative · entry 1 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,520 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The reporting person, pursuant to the issuer's LTI Deferral Plan, elected to receive 25% of the shares subject to the restricted stock unit award granted to reporting person on May 19, 2016, on May 19, 2019, and the remaining shares in five equal installments commencing on January 30, 2022, and continuing on each anniversary thereafter. Read SEC document |
| May 14, 2018 Filed May 14, 2018 22:23 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 5,707 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-18-000092 · wf-form4_152633653434704.xml · derivative · entry 7 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,707 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: One-for-One F2 · shares: 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. F4 · derivative.exercise_date: 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. F5 · derivative.expiration_date: Not Applicable Read SEC document |
| May 14, 2018 Filed May 14, 2018 22:23 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 3,994 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-18-000092 · wf-form4_152633653434704.xml · nonDerivative · entry 4 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,988 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: 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. Read SEC document |
| May 10, 2018 Filed May 14, 2018 22:23 UTC | MOSAIC CO MOS · Entity 3647 | GrantRestricted Stock Units · Derivative | 5,497 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-18-000092 · wf-form4_152633653434704.xml · derivative · entry 10 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,497 Underlying: Common Stock · 5,497 shares Expires not disclosed F3 · derivative.exercise_price: One-for-One F8 · derivative.exercise_date: 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. F5 · derivative.expiration_date: Not Applicable Read SEC document |
| May 03, 2018 Filed May 14, 2018 22:23 UTC | MOSAIC CO MOS · Entity 3647 | GiftCommon Stock | 4,655 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-18-000092 · wf-form4_152633653434704.xml · nonDerivative · entry 3 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,994 Read SEC document |
| May 03, 2018 Filed May 14, 2018 22:23 UTC | MOSAIC CO MOS · Entity 3647 | GiftCommon Stock | 4,655 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-18-000092 · wf-form4_152633653434704.xml · nonDerivative · entry 2 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By GRAT #4 dated May 12, 2011 Disclosed balance after: 0 F1 · ownership.nature: 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. Read SEC document |
| May 02, 2018 Filed May 14, 2018 22:23 UTC | MOSAIC CO MOS · Entity 3647 | PurchaseCommon Stock | 4,655 | $27.14 | $126,336.70 |
DisclosureSEC source: 0001243786-18-000092 · wf-form4_152633653434704.xml · nonDerivative · entry 1 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By GRAT #4 dated May 12, 2011 Disclosed balance after: 4,655 Read SEC document |
| August 21, 2017 Filed Aug 21, 2017 20:44 UTC | MOSAIC CO MOS · Entity 3647 | PurchaseCommon Stock | 2,000 | $19.83 | $39,660.00 |
DisclosureSEC source: 0001243786-17-000142 · wf-form4_150334826677368.xml · nonDerivative · entry 2 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Robert L. Lumpkins Revocable Trust Disclosed balance after: 26,736 F2 · price: 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. Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 20:44 UTC | MOSAIC CO MOS · Entity 3647 | PurchaseCommon Stock | 5,000 | $19.98 | $99,912.00 |
DisclosureSEC source: 0001243786-17-000142 · wf-form4_150334826677368.xml · nonDerivative · entry 1 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Robert L. Lumpkins Revocable Trust Disclosed balance after: 24,736 F1 · price: 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. Read SEC document |
| May 18, 2017 Filed May 22, 2017 14:23 UTC | MOSAIC CO MOS · Entity 3647 | GrantRestricted Stock Units · Derivative | 10,503 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-17-000126 · wf-form4_149546300464599.xml · derivative · entry 6 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,503 Underlying: Common Stock · 10,503 shares Expires not disclosed F1 · derivative.exercise_price: One-for-One F5 · derivative.exercise_date: 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. F3 · derivative.expiration_date: Not Applicable Read SEC document |
| May 15, 2017 Filed May 17, 2017 16:48 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 5,274 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-17-000103 · wf-form4_149503967465178.xml · derivative · entry 4 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,274 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: One for one F2 · shares: 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. F4 · derivative.exercise_date: The restricted stock units will vest on the date of the issuer's 2015 Annual Meeting of Stockholders. Vested shares were delivered to the reporting person on May 15, 2017. F5 · derivative.expiration_date: Not applicable Read SEC document |
| May 15, 2017 Filed May 17, 2017 16:48 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 3,691 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-17-000103 · wf-form4_149503967465178.xml · nonDerivative · entry 3 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,339 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: 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. Read SEC document |
| April 11, 2017 Filed May 17, 2017 16:48 UTC | MOSAIC CO MOS · Entity 3647 | GiftCommon Stock | 6,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-17-000103 · wf-form4_149503967465178.xml · nonDerivative · entry 2 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Robert L. Lumpkins Revocable Trust Disclosed balance after: 19,736 Read SEC document |
| April 11, 2017 Filed May 17, 2017 16:48 UTC | MOSAIC CO MOS · Entity 3647 | GiftCommon Stock | 6,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-17-000103 · wf-form4_149503967465178.xml · nonDerivative · entry 1 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By GRAT #6 dated April 2, 2015 Disclosed balance after: 2,745 F1 · ownership.nature: On April 11, 2017, the reporting person indirectly held 9,279 shares of MOS common stock in a grantor retained annuity trust for the benefit of himself and his daughter ("GRAT #6"). On that date, 6,534 shares were distributed by GRAT #6 to the Robert L. Lumpkins Revocable Trust in satisfaction of an annuity to the reporting person and was exempt from reporting under Rule 16a-13. Read SEC document |
| October 03, 2016 Filed Oct 5, 2016 20:26 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionRestricted Stock Units · Derivative | 3,350 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001243786-16-000370 · wf-form4_147569916562866.xml · derivative · entry 4 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,350 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: One for one F3 · derivative.exercise_date: The restricted stock units vested on May 15, 2014. Vested shares will be delivered to the reporting person on October 3, 2016. F4 · derivative.expiration_date: Not applicable Read SEC document |
| October 03, 2016 Filed Oct 5, 2016 20:26 UTC | MOSAIC CO MOS · Entity 3647 | Exercise / conversionCommon Stock | 2,345 | $0.00 | $0.00 |
DisclosureSEC source: 0001243786-16-000370 · wf-form4_147569916562866.xml · nonDerivative · entry 1 LUMPKINS ROBERT L · CIK 0001236005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,648 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.