SEC Form 5/A · accession 0001225208-15-003312
CUMMINS INC · CMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
Richard Joseph Freeland
Officer — President & COO
Period of report
Dec 31, 2014
Accepted (ET)
Feb 10, 2015 · 1:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000026172
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | Nov 14, 2014 | G | 1,000 | $0.00 | D | 27,252 | D | |
| CommonF2,F3 | holding | — | — | — | 2,324 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right-to-Buy)F2 | $58.115 | holding | — | — | — | Mar 1, 2012 | Mar 1, 2020 | Common | 10,900 | 10,900 | D |
| Stock Option (Right-to-Buy)F2 | $19.42 | holding | — | — | — | Mar 2, 2011 | Mar 2, 2019 | Common | 3,650 | 3,650 | D |
| Stock Option (Right-to-Buy)F2 | $120.28 | holding | — | — | — | Apr 2, 2014 | Apr 2, 2022 | Common | 11,030 | 11,030 | D |
| Stock Option (Right-to-Buy)F2 | $111.84 | holding | — | — | — | Apr 2, 2015 | Apr 2, 2023 | Common | 16,450 | 16,450 | D |
| Stock Option (Right-to-Buy)F2 | $149.34 | holding | — | — | — | Apr 2, 2017 | Apr 2, 2024 | Common | 12,290 | 12,290 | D |
| Stock Option (Right-to-Buy)F2 | $119.77 | holding | — | — | — | May 2, 2013 | May 2, 2021 | Common | 8,150 | 8,150 | D |
| Stock Option (Right-to-Buy)F2 | $154.20 | holding | — | — | — | Jul 16, 2017 | Jul 16, 2024 | Common | 1,960 | 1,960 | D |
Explanation of responses
- F1These transactions on this amended Form 5 are not new transactions but simply being restated from the original to display on the online filing system. This amendment is being filed solely to correct the date shown in Box 3.
- F2These holdings on this amended Form 5 are not new holdings but simply being restated from the original to display on the online filing system. This amendment is being filed solely to correct the date shown in Box 3.
- F3The 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.