SEC Form 4 · accession 0001289419-18-000211
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 28, 2018
Accepted (ET)
Nov 30, 2018 · 12:38 pm 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 28, 2018 | S | 200 | $115.09 | D | 22,801,998 | D | |
| Common StockF3 | Nov 28, 2018 | S | 2,400 | $116.2362 | D | 22,799,598 | D | |
| Common StockF4 | Nov 28, 2018 | S | 1,500 | $117.2273 | D | 22,798,098 | D | |
| Common StockF5 | Nov 28, 2018 | S | 6,775 | $118.6826 | D | 22,791,323 | D | |
| Common StockF6 | Nov 29, 2018 | S | 3,636 | $118.3152 | D | 22,787,687 | D | |
| Common StockF7 | Nov 29, 2018 | S | 4,309 | $119.3912 | D | 22,783,378 | D | |
| Common StockF8 | Nov 29, 2018 | S | 1,863 | $120.201 | D | 22,781,515 | D | |
| Common StockF9 | 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 $114.6400 to $115.5400. 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 $115.7000 to $116.6300. 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 $117.0000 to $117.5800. 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 $118.3400 to $119.0700. 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 $117.7750 to $118.7475. 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.
- F7The transaction was executed in multiple trades at prices ranging from $118.8100 to $119.8000. 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.
- F8The transaction was executed in multiple trades at prices ranging from $119.8800 to $120.5700. 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.
- F9These shares are held in trusts for the benefit of the reporting person's children. The reporting person's spouse is trustee of the trusts.