Morningstar Inc
For the period ended Sep 30, 2024. Filed Oct 25, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2024 · Filed Oct 25, 2024
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Item 5. Other Information
Trading Arrangements
During the three months ended September 30, 2024, none of the company’s officers (as defined in Section 16 of the Exchange Act) and directors adopted or terminated contracts, instructions, or written plans for the purchase or sale of the company’s securities.
Other 10b5-1 Plan Information
The following table, which we are providing on a voluntary basis, shows the Rule 10b5-1 sales plans entered into by our directors and officers (as defined in Section 16 of the Exchange Act) that were in effect as of October 11, 2024:
| Name and Position | Date of Plan | Plan Termination Date | Plan Duration | Number of Shares to be Sold under the Plan | Timing of Sales under the Plan | Number of Shares Sold under the Plan through October 11, 2024 | Projected Beneficial Ownership (1) |
|---|---|---|---|---|---|---|---|
| Joe MansuetoExecutive Chairman | 11/17/2023 | 4/30/2025 | 05/01/2024 to 04/30/2025 | 500,000 | Shares to be sold under the plan if the stock reaches specified prices | 250,000 | 15,304,659 |
| Steven KaplanDirector | 8/3/2023 | 11/11/2024 | 03/11/2024 to 11/11/2024 | 5,000 | Shares to be sold under the plan at market price | 3,750 | 39,871 |
| William Lyons Director | 3/5/2024 | 11/30/2024 | 06/04/2024 to 11/30/2024 | 4,500 | Shares to be sold under the plan if the stock reaches specified prices | 3,750 | 11,395 |
(1) This column reflects an estimate of the number of shares each identified director and executive officer will beneficially own following the sale of all shares under the Rule 10b5-1 sales plan. This information reflects the beneficial ownership of our common stock on October 11, 2024 and includes RSUs that will vest by December 10, 2024. The estimates do not reflect any changes to beneficial ownership that may have occurred since October 11, 2024. Each director and executive officer identified in the table may amend or terminate his or her Rule 10b5-1 sales plan and may adopt additional Rule 10b5-1 plans in the future.
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