Filing Details
- Accession Number:
- 0001140361-16-086559
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 17:25:51
- Reporting Period:
- 2016-11-11
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 17:25:51
- 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 |
|---|---|---|---|---|---|---|---|
| 1238889 | M Marya Rose | 500 Jackson Street Columbus IN 47201 | V.p. - Cao | 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 | 2016-11-11 | 5,450 | $58.12 | 20,193 | No | 4 | M | Direct | |
| Common | Disposition | 2016-11-11 | 5,440 | $136.40 | 14,753 | No | 4 | S | Direct | |
| Common | Disposition | 2016-11-11 | 10 | $137.01 | 14,743 | 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 | 2016-11-11 | 5,450 | $0.00 | 5,450 | $58.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-03-01 | 2020-03-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common | 235 | 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) | $120.28 | 2014-04-02 | 2022-04-02 | 7,350 | 7,350 | Direct |
| Common | Stock Option (Right-to-Buy) | $111.84 | 2015-04-02 | 2023-04-02 | 10,970 | 10,970 | Direct |
| Common | Stock Option (Right-to-Buy) | $149.34 | 2017-04-02 | 2024-04-02 | 8,190 | 8,190 | Direct |
| Common | Stock Option (Right-to-Buy) | $136.82 | 2018-04-02 | 2025-04-02 | 10,280 | 10,280 | Direct |
| Common | Stock Option (Right-to-Buy) | $109.09 | 2019-04-04 | 2026-04-04 | 22,310 | 22,310 | Direct |
| Common | Stock Option (Right-to-Buy) | $119.77 | 2013-05-02 | 2021-05-02 | 5,220 | 5,220 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-04-02 | 7,350 | 7,350 | Direct |
| 2023-04-02 | 10,970 | 10,970 | Direct |
| 2024-04-02 | 8,190 | 8,190 | Direct |
| 2025-04-02 | 10,280 | 10,280 | Direct |
| 2026-04-04 | 22,310 | 22,310 | Direct |
| 2021-05-02 | 5,220 | 5,220 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $135.98 - $136.68. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated.
- 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.
Billionaire Hedge Funds
