SEC Form 4 · accession 0001289419-18-000117
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 16, 2018
Accepted (ET)
Aug 20, 2018 · 10:15 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 16, 2018 | S | 2,219 | $134.6211 | D | 23,291,620 | D | |
| Common StockF3 | Aug 16, 2018 | S | 10,430 | $135.2399 | D | 23,281,190 | D | |
| Common StockF4 | Aug 16, 2018 | S | 11 | $135.9891 | D | 23,281,179 | D | |
| Common StockF5 | Aug 17, 2018 | S | 4,185 | $135.1512 | D | 23,276,994 | D | |
| Common StockF6 | Aug 17, 2018 | S | 5,637 | $136.0339 | D | 23,271,357 | D | |
| Common StockF7 | Aug 17, 2018 | S | 2,302 | $137.1971 | D | 23,269,055 | 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 $133.9950 to $134.94. 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 $134.97 to $135.86. 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.
- F4The transaction was executed in multiple trades at prices ranging from $135.98 to $135.99. 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 $134.50 to $135.49. 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.
- F6The transaction was executed in multiple trades at prices ranging from $135.60 to $136.57. 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 $137.03 to $137.32. 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.