SEC Form 4 · accession 0001225208-17-005866
CUMMINS INC · CMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thaddeus B Ewald
Officer — VP - Corporate Strategy
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 |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | Mar 6, 2017 | A | 462 | $0.00 | A | 3,544 | D | |
| Common | Mar 6, 2017 | F | 174 | $152.85 | D | 3,370 | D | |
| CommonF3 | holding | — | — | — | 1,724 | 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) | $109.09 | holding | — | — | — | Apr 4, 2019 | Apr 4, 2026 | Common | 10,670 | 10,670 | D |
| Stock Option (Right-to-Buy) | $111.84 | holding | — | — | — | Apr 2, 2016 | Apr 2, 2023 | Common | 1,910 | 1,910 | D |
| Stock Option (Right-to-Buy) | $119.77 | holding | — | — | — | May 2, 2014 | May 2, 2021 | Common | 980 | 980 | D |
| Stock Option (Right-to-Buy) | $120.28 | holding | — | — | — | Apr 2, 2015 | Apr 2, 2022 | Common | 1,290 | 1,290 | D |
| Stock Option (Right-to-Buy) | $136.82 | holding | — | — | — | Apr 2, 2018 | Apr 2, 2025 | Common | 4,470 | 4,470 | D |
| Stock Option (Right-to-Buy) | $149.34 | holding | — | — | — | Apr 2, 2017 | Apr 2, 2024 | Common | 1,600 | 1,600 | D |
Explanation of responses
- F1Includes 27.783 shares acquired under the Cummins Inc. Dividend Reinvestment Plan since the most recently filed Form 4.
- F2Shares withheld to satisfy tax liabilities relating to earned performance shares.
- 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.