SEC Form 4 · accession 0001225208-19-004546
CUMMINS INC · CMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sharon R Barner
Officer — VP - Gen. Counsel
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 1:07 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 |
|---|---|---|---|---|---|---|---|---|
| Common | Mar 1, 2019 | A | 4,092 | $0.00 | A | 8,957 | D | |
| Common | Mar 1, 2019 | F | 1,178 | $154.41 | D | 7,779 | 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) | $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 | 6,680 | 6,680 | D |
| Stock Option (Right-to-Buy) | $120.28 | holding | — | — | — | Apr 2, 2014 | Apr 2, 2022 | Common | 4,410 | 4,410 | D |
| Stock Option (Right-to-Buy) | $136.82 | holding | — | — | — | Apr 2, 2018 | Apr 2, 2025 | Common | 8,040 | 8,040 | D |
| Stock Option (Right-to-Buy) | $149.34 | holding | — | — | — | Apr 2, 2017 | Apr 2, 2024 | Common | 5,700 | 5,700 | D |
| Stock Option (Right-to-Buy) | $149.72 | holding | — | — | — | Apr 3, 2020 | Apr 3, 2027 | Common | 12,510 | 12,510 | D |
| Stock Option (Right-to-Buy) | $160.10 | holding | — | — | — | Apr 3, 2021 | Apr 3, 2028 | Common | 9,560 | 9,560 | D |
Explanation of responses
- F1Shares withheld to satisfy tax liabilities relating to earned performance shares.