Francis Cheryl A's Form 4/A amendment
AmendedMorningstar, Inc. (MORN) · filed Nov 12, 2021
- Accession no.
- 0001289419-21-000277
- Filed
- Nov 12, 2021
- Trade date
- May 1, 2020
- Filing delay
- 560 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- May 5, 2020
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $132.7K. It was filed 560 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Francis Cheryl ACIK 0001197386 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 1, 2020 | Common Stock | MOption exerciseAcquired | +2,316 | $57.28 | +$132,660.48 | 32,208 | Direct | |
| May 1, 2020 | Common Stock | SSaleDisposed | −874 | $151.83 | −$132,699.42 | 31,340 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 1, 2020 | Common Stock | MOption exerciseAcquired | +2,316 | $0.00 | $0 | – | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This amended Form 4 reports the reporting person's stock option exercise which was inadvertently omited from the original Form 4.
- F2
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2019.
- F3
This amended Form 4 reports again the reporting person's disposition of stock reported on the original Form 4 and increases the total reported number of shares beneficially owned by 6 to reflect the cumulative impact of rounding of fractional shares in previously reported transactions.
- F4
The options became exercisable in three equal installments beginning May 15, 2012.