SEC Form 4 · accession 0001289419-18-000150
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 27, 2018
Accepted (ET)
Oct 1, 2018 · 2:32 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 27, 2018 | S | 7,386 | $126.3192 | D | 23,043,835 | D | |
| Common StockF3 | Sep 27, 2018 | S | 300 | $127.3833 | D | 23,043,535 | D | |
| Common StockF4 | Sep 28, 2018 | S | 2,670 | $125.7721 | D | 23,040,865 | D | |
| Common StockF5 | Sep 28, 2018 | S | 5,833 | $126.5888 | D | 23,035,032 | D | |
| Common StockF6 | Sep 28, 2018 | S | 1,435 | $127.3273 | D | 23,033,597 | 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.
- F2he transaction was executed in multiple trades at prices ranging from $126.23 to $126.90. 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 $127.31 to $127.49. 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 $125.17 to $126.12. 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 $126.17 to $127.12. 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 $127.21 to $127.67. 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.