SEC Form 4 · accession 0001289419-18-000175
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
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 10:56 am EST
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 | Nov 9, 2018 | S | 9,166 | $124.357 | D | 22,938,874 | D | |
| Common StockF3 | Nov 9, 2018 | S | 3,128 | $125.2143 | D | 22,935,746 | D | |
| Common StockF4 | Nov 9, 2018 | S | 1,114 | $125.9974 | D | 22,934,632 | D | |
| Common StockF5 | Nov 12, 2018 | S | 5,748 | $124.0833 | D | 22,928,884 | D | |
| Common StockF6 | Nov 12, 2018 | S | 825 | $124.6288 | D | 22,928,059 | 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 $123.8700 to $124.8600. 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 $124.8750 to $125.8000. 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 $125.9000 to $126.3150. 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 $123.6700 to $124.6350. 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 $124.6800 to $124.9200. 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.