Filing Details
- Accession Number:
- 0001140361-16-086055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 10:47:43
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 10:47:43
- 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 |
---|---|---|---|---|---|---|---|
1238885 | M Steven Chapman | 500 Jackson Street Columbus IN 47201 | Group Vice President | 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 | Disposition | 2012-02-28 | 670 | $0.00 | 15,369 | No | 4 | G | Direct | |
Common | Disposition | 2016-11-09 | 3,000 | $135.00 | 12,369 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | G | Direct | |
No | 4 | S | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 10,029 | 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 | 6,540 | 6,540 | Direct |
Common | Stock Option (Right-to-Buy) | $120.28 | 2014-04-02 | 2022-04-02 | 6,250 | 6,250 | Direct |
Common | Stock Option (Right-to-Buy) | $111.84 | 2015-04-02 | 2023-04-02 | 8,110 | 8,110 | Direct |
Common | Stock Option (Right-to-Buy) | $149.34 | 2017-04-02 | 2024-04-02 | 7,120 | 7,120 | Direct |
Common | Stock Option (Right-to-Buy) | $136.82 | 2018-04-02 | 2025-04-02 | 9,830 | 9,830 | Direct |
Common | Stock Option (Right-to-Buy) | $109.09 | 2019-04-04 | 2026-04-04 | 21,350 | 21,350 | Direct |
Common | Stock Option (Right-to-Buy) | $119.77 | 2013-05-02 | 2021-05-02 | 5,540 | 5,540 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2020-03-01 | 6,540 | 6,540 | Direct |
2022-04-02 | 6,250 | 6,250 | Direct |
2023-04-02 | 8,110 | 8,110 | Direct |
2024-04-02 | 7,120 | 7,120 | Direct |
2025-04-02 | 9,830 | 9,830 | Direct |
2026-04-04 | 21,350 | 21,350 | Direct |
2021-05-02 | 5,540 | 5,540 | Direct |
Footnotes
- The number of shares of Common Stock beneficially owned by the reporting person following the reported transaction has been reduced by 4,231 shares pursuant to a discrepancy discovered during an audit of the reporting person's shareholdings. The audit did not identify any violations of Section 16(b) of the Securities Exchange Act of 1934, as amended. To the extent this Form 4 updates the beneficial share ownership amounts reported on previously filed Form 4s, this Form 4 serves as an amendment to any such previously filed Form 4s.
- Sale pursuant to Rule 10b5-1 Trading Plan entered into on November 6, 2015.
- 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.