SEC Form 4 · accession 0001289419-18-000081
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 7, 2018
Accepted (ET)
Jun 11, 2018 · 12:42 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 7, 2018 | S | 650 | $125.0108 | D | 23,517,150 | D | |
| Common StockF3 | Jun 7, 2018 | S | 5,750 | $126.3211 | D | 23,511,400 | D | |
| Common StockF4 | Jun 7, 2018 | S | 6,002 | $126.9409 | D | 23,505,398 | D | |
| Common StockF5 | Jun 8, 2018 | S | 350 | $126.7764 | D | 23,505,048 | D | |
| Common StockF6 | Jun 8, 2018 | S | 9,317 | $127.693 | D | 23,495,731 | D | |
| Common StockF7 | Jun 8, 2018 | S | 222 | $128.3649 | D | 23,495,509 | 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 $124.59 to $125.3450. 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 $125.66 to $126.65. 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 $126.66 to $127.3850. 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 $126.21 to $127.08. 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 $127.25 to $128.22. 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 $128.25 to $128.4750. 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.