Filing Details
- Accession Number:
- 0001225208-18-014434
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-04 16:42:33
- Reporting Period:
- 2018-10-02
- Accepted Time:
- 2018-10-04 16:42:33
- 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 |
---|---|---|---|---|---|---|---|
1436125 | Pat Ward | 500 Jackson Street Columbus IN 47201 | Vp - Chief Financial 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 | Disposition | 2018-04-05 | 2,282 | $0.00 | 0 | No | 5 | G | Direct | |
Common | Acquisiton | 2018-10-02 | 7,984 | $0.00 | 7,984 | No | 5 | G | Direct | |
Common | Disposition | 2018-10-02 | 2,282 | $147.98 | 5,702 | No | 4 | S | Direct | |
Common | Disposition | 2018-10-03 | 2,221 | $149.90 | 3,481 | No | 4 | S | Direct | |
Common | Acquisiton | 2018-04-05 | 2,282 | $0.00 | 27,232 | No | 5 | G | Indirect | By Trust |
Common | Disposition | 2018-10-02 | 7,984 | $0.00 | 19,248 | No | 5 | G | Indirect | By Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 5 | G | Direct | |
No | 5 | G | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 5 | G | Indirect | By Trust |
No | 5 | G | Indirect | By Trust |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common | 1,226 | 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) | $109.09 | 2019-04-04 | 2026-04-04 | 38,810 | 38,810 | Direct |
Common | Stock Option (Right-to-Buy) | $111.84 | 2015-04-02 | 2023-04-02 | 15,020 | 15,020 | Direct |
Common | Stock Option (Right-to-Buy) | $120.28 | 2014-04-02 | 2022-04-02 | 11,030 | 11,030 | Direct |
Common | Stock Option (Right-to-Buy) | $136.82 | 2018-04-02 | 2025-04-02 | 15,420 | 15,420 | Direct |
Common | Stock Option (Right-to-Buy) | $149.34 | 2017-04-02 | 2024-04-02 | 11,220 | 11,220 | Direct |
Common | Stock Option (Right-to-Buy) | $149.72 | 2020-04-03 | 2027-04-03 | 25,010 | 25,010 | Direct |
Common | Stock Option (Right-to-Buy) | $160.10 | 2021-04-03 | 2028-04-03 | 17,380 | 17,380 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2026-04-04 | 38,810 | 38,810 | Direct |
2023-04-02 | 15,020 | 15,020 | Direct |
2022-04-02 | 11,030 | 11,030 | Direct |
2025-04-02 | 15,420 | 15,420 | Direct |
2024-04-02 | 11,220 | 11,220 | Direct |
2027-04-03 | 25,010 | 25,010 | Direct |
2028-04-03 | 17,380 | 17,380 | Direct |
Footnotes
- Reflects a negative adjustment of 16 shares since the Reporting Person's last Form 4 to reflect an increase in the number of shares withheld to satisfy tax liabilities related to earned performance shares.
- Reflects an increase for 7,984 shares previously held by the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- Sale pursuant to Rule 10b5-1 Trading Plan entered into on August 3, 2018.
- Reflects a decrease of 7,984 shares that were distributed to the reporting person.
- 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.