SEC Form 4 · accession 0001289419-19-000026
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
Feb 20, 2019
Accepted (ET)
Feb 22, 2019 · 2:46 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 | Feb 20, 2019 | S | 6,239 | $124.7332 | D | 22,415,731 | D | |
| Common StockF3 | Feb 20, 2019 | S | 3,153 | $125.513 | D | 22,412,578 | D | |
| Common StockF4 | Feb 21, 2019 | S | 1,366 | $125.4854 | D | 22,411,212 | D | |
| Common StockF5 | Feb 21, 2019 | S | 5,253 | $126.6713 | D | 22,405,959 | D | |
| Common StockF6 | Feb 21, 2019 | S | 3,323 | $127.3647 | D | 22,402,636 | 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 $124.3700 to $125.3100. 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 $125.3800 to $125.7700. 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 $125.0200 to $125.7700. 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 $126.0200 to $127.0000. 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 $127.0200 to $127.8600. 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.
- 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.