Filing Details

Accession Number:
0001225208-21-002126
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-02-11 08:46:13
Reporting Period:
2021-02-09
Accepted Time:
2021-02-11 08:46:13
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
1613720 B Thaddeus Ewald 500 Jackson Street
Columbus IN 47201
Vp - Corporate Strategy 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 2021-02-09 980 $119.77 9,656 No 4 M Direct
Common Disposition 2021-02-09 650 $244.27 9,006 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 2021-02-09 980 $0.00 980 $119.77
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-05-02 2021-05-02 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common 2,196 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 10,670 10,670 Direct
Common Stock Option (Right-to-Buy) $111.84 2016-04-02 2023-04-02 1,910 1,910 Direct
Common Stock Option (Right-to-Buy) $120.28 2015-04-02 2022-04-02 1,290 1,290 Direct
Common Stock Option (Right-to-Buy) $136.82 2018-04-02 2025-04-02 4,470 4,470 Direct
Common Stock Option (Right-to-Buy) $142.12 2023-04-06 2030-04-06 8,530 8,530 Direct
Common Stock Option (Right-to-Buy) $146.18 2017-11-01 2024-11-01 890 890 Direct
Common Stock Option (Right-to-Buy) $149.34 2017-04-02 2024-04-02 1,600 1,600 Direct
Common Stock Option (Right-to-Buy) $149.72 2020-04-03 2027-04-03 7,500 7,500 Direct
Common Stock Option (Right-to-Buy) $160.10 2021-04-03 2028-04-03 6,520 6,520 Direct
Common Stock Option (Right-to-Buy) $163.43 2022-04-04 2029-04-04 9,250 9,250 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2026-04-04 10,670 10,670 Direct
2023-04-02 1,910 1,910 Direct
2022-04-02 1,290 1,290 Direct
2025-04-02 4,470 4,470 Direct
2030-04-06 8,530 8,530 Direct
2024-11-01 890 890 Direct
2024-04-02 1,600 1,600 Direct
2027-04-03 7,500 7,500 Direct
2028-04-03 6,520 6,520 Direct
2029-04-04 9,250 9,250 Direct
Footnotes
  1. The stock options exercised and reported on this Form 4 were exercised in "sell-to-cover" transactions with respect to stock options that were set to expire in the near term. Any shares sold in such transactions were sold solely to cover the exercise price, fees and taxes associated with the stock option exercises.
  2. 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.