Filing Details
- Accession Number:
- 0001225208-16-037049
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-07-27 16:32:52
- Reporting Period:
- 2016-07-26
- Filing Date:
- 2016-07-27
- Accepted Time:
- 2016-07-27 16:32:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 26172 | Cummins Inc | CMI | Engines & Turbines (3510) | 350257090 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1528025 | E Jill Cook | 500 Jackson Street Columbus IN 47201 | Chief Human Resources Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common | Acquisiton | 2016-07-26 | 2,895 | $19.42 | 24,800 | No | 4 | M | Direct | |
| Common | Disposition | 2016-07-26 | 2,895 | $120.20 | 21,905 | No | 4 | S | Direct | |
| Common | Disposition | 2016-07-26 | 3,086 | $120.20 | 18,819 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common | Stock Option (Right-to-Buy) | Disposition | 2016-07-26 | 2,895 | $0.00 | 2,895 | $19.42 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,895 | 2011-03-02 | 2019-03-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 1,937 | Indirect | By 401(k) Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common | Stock Option (Right-to-Buy) | $58.12 | 2012-03-01 | 2020-03-01 | 4,360 | 4,360 | Direct |
| Common | Stock Option (Right-to-Buy) | $120.28 | 2014-04-02 | 2022-04-02 | 4,410 | 4,410 | Direct |
| Common | Stock Option (Right-to-Buy) | $111.84 | 2015-04-02 | 2023-04-02 | 6,440 | 6,440 | Direct |
| Common | Stock Option (Right-to-Buy) | $149.34 | 2017-04-02 | 2024-04-02 | 4,810 | 4,810 | Direct |
| Common | Stock Option (Right-to-Buy) | $136.82 | 2018-04-02 | 2025-04-02 | 6,480 | 6,480 | Direct |
| Common | Stock Option (Right-to-Buy) | $109.09 | 2019-04-04 | 2026-04-04 | 16,490 | 16,490 | Direct |
| Common | Stock Option (Right-to-Buy) | $119.77 | 2013-05-02 | 2021-05-02 | 3,260 | 3,260 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-03-01 | 4,360 | 4,360 | Direct |
| 2022-04-02 | 4,410 | 4,410 | Direct |
| 2023-04-02 | 6,440 | 6,440 | Direct |
| 2024-04-02 | 4,810 | 4,810 | Direct |
| 2025-04-02 | 6,480 | 6,480 | Direct |
| 2026-04-04 | 16,490 | 16,490 | Direct |
| 2021-05-02 | 3,260 | 3,260 | Direct |
Footnotes
- Transactions pursuant to Rule 10b5-1 Trading Plan entered into on May 24, 2016.
- The number of shares is based on the dollar value of the reporting person's interest in the Cummins Stock Fund under the Company's 401(k) plan as most recently provided by the plan. The actual number of shares underlying the interest is not known since the Cummins Stock Fund is a unitized account consisting of approximately 98% common stock and 2% cash or cash equivalents.
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