SEC Form 4 · accession 0001289419-18-000138
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
Sep 13, 2018
Accepted (ET)
Sep 17, 2018 · 12:44 pm 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 | Sep 13, 2018 | S | 4,471 | $137.2488 | D | 23,119,416 | D | |
| Common StockF3 | Sep 13, 2018 | S | 2,068 | $137.8354 | D | 23,117,348 | D | |
| Common Stock | Sep 14, 2018 | S | 100 | $136.49 | D | 23,117,248 | D | |
| Common StockF4 | Sep 14, 2018 | S | 3,658 | $138.3186 | D | 23,113,590 | D | |
| Common StockF5 | Sep 14, 2018 | S | 4,523 | $138.7951 | D | 23,109,067 | D | |
| Common StockF6 | Sep 14, 2018 | S | 405 | $139.6223 | D | 23,108,662 | 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 $136.58 to $137.57. 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.
- F3The transaction was executed in multiple trades at prices ranging from $137.58 to $138.28. 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 $137.55 to $138.54. 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 $138.55 to $139.50. 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 $139.61 to $139.63. 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.