SEC Form 5 · accession 0001225208-18-001358
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
Dec 31, 2017
Accepted (ET)
Jan 23, 2018 · 10:12 am 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 | Jul 8, 2014 | J | 386 | $0.00 | A | 3,768 | D | |
| CommonF2,F3 | Mar 6, 2017 | A | 177 | $0.00 | A | 3,957 | D | |
| CommonF4 | holding | — | — | — | 1,832 | 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 |
| Stock Option (Right-to-Buy) | $149.72 | holding | — | — | — | Apr 3, 2020 | Apr 3, 2027 | Common | 7,500 | 7,500 | D |
Explanation of responses
- F1Represents shares beneficially held by the reporting person and inadvertently omitted from reporting person's Form 3 filing.
- F2Represents issuance of shares to reporting person not previously reported on Form 4.
- F3Includes 11.707 shares acquired under the Cummins Inc. Dividend Reinvestment Plan since the most recently filed Form 4.
- F4The 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.