SEC Form 4 · accession 0001289419-18-000108
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
Aug 9, 2018
Accepted (ET)
Aug 13, 2018 · 9:43 am 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 | Aug 9, 2018 | S | 8,980 | $134.4523 | D | 23,330,990 | D | |
| Common StockF3 | Aug 9, 2018 | S | 1,940 | $135.1177 | D | 23,329,050 | D | |
| Common StockF4 | Aug 10, 2018 | S | 5,411 | $133.5062 | D | 23,323,639 | 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 $133.90 to $134.86. 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 $134.9250 to $135.48. 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.
- F4he transaction was executed in multiple trades at prices ranging from $133.33 to $134.12. 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.