SEC Form 4 · accession 0001289419-18-000130
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 31, 2018
Accepted (ET)
Sep 5, 2018 · 11:17 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 31, 2018 | S | 600 | $138.3959 | D | 23,186,816 | D | |
| Common StockF3 | Aug 31, 2018 | S | 8,742 | $139.3534 | D | 23,178,074 | D | |
| Common StockF4 | Aug 31, 2018 | S | 1,665 | $140.3883 | D | 23,176,409 | D | |
| Common StockF5 | Aug 31, 2018 | S | 2,105 | $141.2196 | D | 23,174,304 | D | |
| Common StockF6 | Aug 31, 2018 | S | 2,948 | $142.1172 | D | 23,171,356 | D | |
| Common StockF7 | Sep 4, 2018 | S | 6,657 | $142.0268 | D | 23,164,699 | D | |
| Common StockF8 | Sep 4, 2018 | S | 3,275 | $142.4744 | D | 23,161,424 | D | |
| Common StockF9 | 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 $137.80 to $138.79. 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 $138.81 to $139.80. 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.
- F4The transaction was executed in multiple trades at prices ranging from $139.85 to $140.8401. 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 $140.8501 to $141.70. 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.
- F6The transaction was executed in multiple trades at prices ranging from $141.90 to $142.36. 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 $141.32 to $142.31. 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.
- F8The transaction was executed in multiple trades at prices ranging from $142.32 to $142.91. 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.
- F9These shares are held in trusts for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trusts.