SEC Form 4 · accession 0001289419-18-000126
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 27, 2018
Accepted (ET)
Aug 29, 2018 · 11:13 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 27, 2018 | S | 870 | $137.1726 | D | 23,218,342 | D | |
| Common StockF3 | Aug 27, 2018 | S | 5,530 | $138.0282 | D | 23,212,812 | D | |
| Common StockF4 | Aug 27, 2018 | S | 2,207 | $138.6061 | D | 23,210,605 | D | |
| Common StockF5 | Aug 28, 2018 | S | 2,611 | $138.8943 | D | 23,207,994 | D | |
| Common StockF6 | Aug 28, 2018 | S | 6,412 | $139.5886 | D | 23,201,582 | D | |
| Common StockF7 | 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 $136.39 to $137.38. 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 $137.4550 to $138.45. 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 $138.47 to $138.80. 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 $138.13 to $139.11. 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.
- F6he transaction was executed in multiple trades at prices ranging from $139.1450 to $139.84. 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.
- F7These shares are held in trusts for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trusts.