Filing Details

Accession Number:
0001140361-16-086559
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-14 17:25:51
Reporting Period:
2016-11-11
Filing Date:
2016-11-14
Accepted Time:
2016-11-14 17:25:51
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
26172 Cummins Inc CMI Engines & Turbines (3510) 350257090
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1238889 M Marya Rose 500 Jackson Street
Columbus IN 47201
V.p. - Cao No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Acquisiton 2016-11-11 5,450 $58.12 20,193 No 4 M Direct
Common Disposition 2016-11-11 5,440 $136.40 14,753 No 4 S Direct
Common Disposition 2016-11-11 10 $137.01 14,743 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Option (Right-to-Buy) Disposition 2016-11-11 5,450 $0.00 5,450 $58.12
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2012-03-01 2020-03-01 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common 235 Indirect By 401(k) Plan
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Option (Right-to-Buy) $120.28 2014-04-02 2022-04-02 7,350 7,350 Direct
Common Stock Option (Right-to-Buy) $111.84 2015-04-02 2023-04-02 10,970 10,970 Direct
Common Stock Option (Right-to-Buy) $149.34 2017-04-02 2024-04-02 8,190 8,190 Direct
Common Stock Option (Right-to-Buy) $136.82 2018-04-02 2025-04-02 10,280 10,280 Direct
Common Stock Option (Right-to-Buy) $109.09 2019-04-04 2026-04-04 22,310 22,310 Direct
Common Stock Option (Right-to-Buy) $119.77 2013-05-02 2021-05-02 5,220 5,220 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-04-02 7,350 7,350 Direct
2023-04-02 10,970 10,970 Direct
2024-04-02 8,190 8,190 Direct
2025-04-02 10,280 10,280 Direct
2026-04-04 22,310 22,310 Direct
2021-05-02 5,220 5,220 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $135.98 - $136.68. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated.
  2. The 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.