SEC Form 4 · accession 0001289419-19-000028
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 22, 2019
Accepted (ET)
Feb 26, 2019 · 12:28 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 22, 2019 | S | 566 | $126.2628 | D | 22,402,070 | D | |
| Common Stock | Feb 22, 2019 | S | 16 | $129.99 | D | 22,402,054 | D | |
| Common StockF3 | Feb 25, 2019 | S | 2,396 | $126.1752 | D | 22,399,658 | D | |
| Common StockF4 | Feb 25, 2019 | S | 6,292 | $127.0822 | D | 22,393,366 | D | |
| Common Stock | Feb 25, 2019 | S | 169 | $127.65 | D | 22,393,197 | 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.
- F2The transaction was executed in multiple trades at prices ranging from $126.2200 to $126.4600. 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 $125.5800 to $126.5200. 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 $126.5900 to $127.5500. 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.