SEC Form 4 · accession 0001289419-18-000122
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 22, 2018
Accepted (ET)
Aug 24, 2018 · 11:53 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 22, 2018 | S | 8,839 | $136.9409 | D | 23,241,778 | D | |
| Common StockF3 | Aug 22, 2018 | S | 200 | $137.675 | D | 23,241,578 | D | |
| Common StockF4 | Aug 23, 2018 | S | 400 | $136.3613 | D | 23,241,178 | D | |
| Common StockF5 | Aug 23, 2018 | S | 10,732 | $137.4669 | D | 23,230,446 | D | |
| Common Stock | Aug 23, 2018 | S | 100 | $137.99 | D | 23,230,346 | D | |
| Common StockF6 | 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 $136.55 to $137.5401. 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 $137.65 to $137.70. 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 $135.96 to $136.8550. 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 $136.97 to $137.95. 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.
- F6These shares are held in trusts for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trusts.