SEC Form 4 · accession 0001289419-18-000148
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 25, 2018
Accepted (ET)
Sep 27, 2018 · 10:53 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 | Sep 25, 2018 | S | 2,091 | $130.4732 | D | 23,058,333 | D | |
| Common StockF3 | Sep 25, 2018 | S | 250 | $131.466 | D | 23,058,083 | D | |
| Common StockF4 | Sep 26, 2018 | S | 6,660 | $127.7849 | D | 23,051,423 | D | |
| Common StockF5 | Sep 26, 2018 | S | 202 | $128.5787 | D | 23,051,221 | 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.
- F2he transaction was executed in multiple trades at prices ranging from $130.22 to $131.21. 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 $131.26 to $131.75. 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.
- F4he transaction was executed in multiple trades at prices ranging from $127.45 to $128.30. 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 $128.50 to $128.62. 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.