SEC Form 4 · accession 0001289419-18-000077
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
Jun 1, 2018
Accepted (ET)
Jun 5, 2018 · 2:46 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 | Jun 1, 2018 | S | 4,011 | $120.3773 | D | 23,565,230 | D | |
| Common StockF3 | Jun 1, 2018 | S | 7,765 | $121.0954 | D | 23,557,465 | D | |
| Common StockF4 | Jun 4, 2018 | S | 300 | $121.295 | D | 23,557,165 | D | |
| Common StockF5 | Jun 4, 2018 | S | 3,300 | $122.4573 | D | 23,553,865 | D | |
| Common StockF6 | Jun 4, 2018 | S | 7,523 | $123.3258 | D | 23,546,342 | D | |
| Common StockF7 | Jun 4, 2018 | S | 914 | $123.8898 | D | 23,545,428 | D | |
| Common StockF8 | 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 $119.90 to $120.8450. 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 $120.91 to $121.49. 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 $120.76 to $121.60. 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.
- F5The transaction was executed in multiple trades at prices ranging from $121.77 to $122.75. 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.
- F6The transaction was executed in multiple trades at prices ranging from $122.79 to $123.7750. 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.
- F7The transaction was executed in multiple trades at prices ranging from $123.81 to $123.97. 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.
- F8These shares are held in trusts for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trusts.