SEC Form 4 · accession 0001225208-18-014510
CUMMINS INC · CMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marya M Rose
Officer — V.P. - CAO
Period of report
Oct 8, 2018
Accepted (ET)
Oct 10, 2018 · 10:16 am EDT
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 | Oct 8, 2018 | M | 7,350 | $120.28 | A | 24,424 | D | |
| CommonF1 | Oct 8, 2018 | M | 5,220 | $119.77 | A | 29,644 | D | |
| CommonF1 | Oct 8, 2018 | S | 2,009 | $151.0702 | D | 27,635 | D | |
| CommonF1 | Oct 8, 2018 | S | 5,220 | $151.0702 | D | 22,415 | D | |
| CommonF1 | Oct 8, 2018 | S | 7,350 | $151.0702 | D | 15,065 | D | |
| CommonF2 | holding | — | — | — | 302 | 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) | $120.28 | Oct 8, 2018 | M | 7,350 | D | Apr 2, 2014 | Apr 2, 2022 | Common | 7,350 | 0 | D |
| Stock Option (Right-to-Buy) | $119.77 | Oct 8, 2018 | M | 5,220 | D | May 2, 2013 | May 2, 2021 | Common | 5,220 | 0 | D |
| Stock Option (Right-to-Buy) | $109.09 | holding | — | — | — | Apr 4, 2019 | Apr 4, 2026 | Common | 22,310 | 22,310 | D |
| Stock Option (Right-to-Buy) | $111.84 | holding | — | — | — | Apr 2, 2015 | Apr 2, 2023 | Common | 10,970 | 10,970 | D |
| Stock Option (Right-to-Buy) | $136.82 | holding | — | — | — | Apr 2, 2018 | Apr 2, 2025 | Common | 10,280 | 10,280 | D |
| Stock Option (Right-to-Buy) | $149.34 | holding | — | — | — | Apr 2, 2017 | Apr 2, 2024 | Common | 8,190 | 8,190 | D |
| Stock Option (Right-to-Buy) | $149.72 | holding | — | — | — | Apr 3, 2020 | Apr 3, 2027 | Common | 14,380 | 14,380 | D |
| Stock Option (Right-to-Buy) | $160.10 | holding | — | — | — | Apr 3, 2021 | Apr 3, 2028 | Common | 10,860 | 10,860 | D |
Explanation of responses
- F1Transactions pursuant to Rule 10b5-1 Trading Plan entered into on August 7, 2018.
- F2The 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.