SEC Form 4 · accession 0001225208-19-001942
CUMMINS INC · CMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Tracy A Embree
Officer — VP & Pres. - Components Group
Period of report
Feb 6, 2019
Accepted (ET)
Feb 7, 2019 · 1:39 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 | Feb 6, 2019 | M | 561 | $99.17 | A | 4,221 | D | |
| CommonF1 | Feb 6, 2019 | M | 429 | $119.77 | A | 4,650 | D | |
| CommonF1 | Feb 6, 2019 | M | 400 | $118.15 | A | 5,050 | D | |
| CommonF1 | Feb 6, 2019 | S | 206 | $150.00 | D | 4,844 | D | |
| CommonF2 | holding | — | — | — | 42 | 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) | $119.77 | Feb 6, 2019 | M | 429 | D | May 2, 2013 | May 2, 2021 | Common | 429 | 0 | D |
| Stock Option (Right-to-Buy) | $118.15 | Feb 6, 2019 | M | 400 | D | May 6, 2011 | May 6, 2021 | Common | 400 | 0 | D |
| Stock Option (Right-to-Buy) | $99.17 | Feb 6, 2019 | M | 561 | D | Nov 16, 2013 | Nov 16, 2021 | Common | 561 | 0 | D |
| Stock Option (Right-to-Buy) | $109.09 | holding | — | — | — | Apr 4, 2019 | Apr 4, 2026 | Common | 19,410 | 19,410 | D |
| Stock Option (Right-to-Buy) | $111.84 | holding | — | — | — | Apr 2, 2015 | Apr 2, 2023 | Common | 1,910 | 1,910 | D |
| Stock Option (Right-to-Buy) | $120.28 | holding | — | — | — | Apr 2, 2014 | Apr 2, 2022 | Common | 1,470 | 1,470 | D |
| Stock Option (Right-to-Buy) | $136.82 | holding | — | — | — | Apr 2, 2018 | Apr 2, 2025 | Common | 6,700 | 6,700 | D |
| Stock Option (Right-to-Buy) | $149.34 | holding | — | — | — | Apr 2, 2017 | Apr 2, 2024 | Common | 1,420 | 1,420 | D |
| Stock Option (Right-to-Buy) | $149.72 | holding | — | — | — | Apr 3, 2020 | Apr 3, 2027 | Common | 13,760 | 13,760 | D |
| Stock Option (Right-to-Buy) | $160.10 | holding | — | — | — | Apr 3, 2021 | Apr 3, 2028 | Common | 9,560 | 9,560 | D |
Explanation of responses
- F1Transactions pursuant to Rule 10b5-1 Trading Plan entered into on November 29, 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.