SEC Form 4 · accession 0001289419-18-000012
Morningstar, Inc. · MORN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph D Mansueto
Officer — Executive Chairman · Director · 10% Owner
Period of report
May 1, 2018
Accepted (ET)
May 3, 2018 · 12:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001289419
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | May 1, 2018 | S | 4,384 | $108.2919 | D | 23,794,095 | D | |
| Common StockF3 | May 1, 2018 | S | 7,830 | $109.0681 | D | 23,786,265 | D | |
| Common StockF4 | May 2, 2018 | S | 6,371 | $108.5595 | D | 23,779,894 | D | |
| Common Stock | May 2, 2018 | S | 38 | $109.25 | D | 23,779,856 | D | |
| Common StockF5 | holding | — | — | — | 150,000 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 20, 2018.
- F2The transaction was executed in multiple trades at prices ranging from $107.71 to $108.61. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, Morningstar or a shareholder of Morningstar full information regarding the number of shares and prices at which the transaction was effected.
- F3The transaction was executed in multiple trades at prices ranging from $108.73 to $109.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, Morningstar or a shareholder of Morningstar full information regarding the number of shares and prices at which the transaction was effected.
- F4The transaction was executed in multiple trades at prices ranging from $108.22 to $109.13. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, Morningstar or a shareholder of Morningstar full information regarding the number of shares and prices at which the transaction was effected.
- F5These shares are held in trusts for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trusts.