SEC Form 4 · accession 0001289419-18-000154
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
Oct 3, 2018
Accepted (ET)
Oct 5, 2018 · 3:28 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 | Oct 3, 2018 | S | 3,665 | $121.7334 | D | 23,021,185 | D | |
| Common StockF3 | Oct 3, 2018 | S | 9,503 | $122.4209 | D | 23,011,682 | D | |
| Common Stock | Oct 3, 2018 | S | 100 | $123.14 | D | 23,011,582 | D | |
| Common StockF4 | Oct 4, 2018 | S | 212 | $121.0677 | D | 23,011,370 | D | |
| Common StockF5 | 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 $120.95 to $121.94. 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 $121.95 to $122.89. 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 $120.7950 to $121.6550. 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.
- F5These shares are held in trusts for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trusts.