SEC Form 4 · accession 0001225208-17-005857
CUMMINS INC · CMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Andrew Smith
Officer — VP - Operations Finance
Period of report
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 12:09 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 |
|---|---|---|---|---|---|---|---|---|
| Common | Mar 6, 2017 | A | 308 | $0.00 | A | 3,511 | D | |
| Common | Mar 6, 2017 | F | 115 | $152.85 | D | 3,396 | D |
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) | $67.575 | holding | — | — | — | Jun 1, 2012 | Jun 1, 2020 | Common | 820 | 820 | D |
| Stock Option (Right-to-Buy) | $109.09 | holding | — | — | — | Apr 4, 2019 | Apr 4, 2026 | Common | 4,360 | 4,360 | D |
| Stock Option (Right-to-Buy) | $111.84 | holding | — | — | — | Apr 2, 2015 | Apr 2, 2023 | Common | 770 | 770 | D |
| Stock Option (Right-to-Buy) | $119.77 | holding | — | — | — | May 2, 2013 | May 2, 2021 | Common | 528 | 528 | D |
| Stock Option (Right-to-Buy) | $120.28 | holding | — | — | — | Apr 2, 2014 | Apr 2, 2022 | Common | 590 | 590 | D |
| Stock Option (Right-to-Buy) | $136.82 | holding | — | — | — | Apr 2, 2018 | Apr 2, 2025 | Common | 1,790 | 1,790 | D |
| Stock Option (Right-to-Buy) | $149.34 | holding | — | — | — | Apr 2, 2017 | Apr 2, 2024 | Common | 1,070 | 1,070 | D |
Explanation of responses
- F1Shares withheld to satisfy tax liabilities relating to earned performance shares.