SEC Form 5 · accession 0001225208-19-001023
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
Dec 31, 2018
Accepted (ET)
Jan 18, 2019 · 11:11 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 |
|---|---|---|---|---|---|---|---|---|
| Common | holding | — | — | — | 3,962 | 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)F1 | $114.13 | Jun 1, 2016 | A | 970 | A | Jun 1, 2019 | Jun 1, 2026 | Common | 970 | 970 | 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 |
| Stock Option (Right-to-Buy) | $149.72 | holding | — | — | — | Apr 3, 2020 | Apr 3, 2027 | Common | 4,380 | 4,380 | D |
| Stock Option (Right-to-Buy) | $160.10 | holding | — | — | — | Apr 3, 2021 | Apr 3, 2028 | Common | 6,080 | 6,080 | D |
Explanation of responses
- F1Represents options beneficially held by the reporting person on 6/1/2016, the date on which the reporting person became an officer of Cummins Inc., that were inadvertently omitted from reporting person's Form 3 filing.