Filing Details

Accession Number:
0001225208-18-014434
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-10-04 16:42:33
Reporting Period:
2018-10-02
Accepted Time:
2018-10-04 16:42:33
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
1436125 Pat Ward 500 Jackson Street
Columbus IN 47201
Vp - Chief Financial Officer 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 Disposition 2018-04-05 2,282 $0.00 0 No 5 G Direct
Common Acquisiton 2018-10-02 7,984 $0.00 7,984 No 5 G Direct
Common Disposition 2018-10-02 2,282 $147.98 5,702 No 4 S Direct
Common Disposition 2018-10-03 2,221 $149.90 3,481 No 4 S Direct
Common Acquisiton 2018-04-05 2,282 $0.00 27,232 No 5 G Indirect By Trust
Common Disposition 2018-10-02 7,984 $0.00 19,248 No 5 G Indirect By Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G Direct
No 5 G Direct
No 4 S Direct
No 4 S Direct
No 5 G Indirect By Trust
No 5 G Indirect By Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common 1,226 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) $109.09 2019-04-04 2026-04-04 38,810 38,810 Direct
Common Stock Option (Right-to-Buy) $111.84 2015-04-02 2023-04-02 15,020 15,020 Direct
Common Stock Option (Right-to-Buy) $120.28 2014-04-02 2022-04-02 11,030 11,030 Direct
Common Stock Option (Right-to-Buy) $136.82 2018-04-02 2025-04-02 15,420 15,420 Direct
Common Stock Option (Right-to-Buy) $149.34 2017-04-02 2024-04-02 11,220 11,220 Direct
Common Stock Option (Right-to-Buy) $149.72 2020-04-03 2027-04-03 25,010 25,010 Direct
Common Stock Option (Right-to-Buy) $160.10 2021-04-03 2028-04-03 17,380 17,380 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2026-04-04 38,810 38,810 Direct
2023-04-02 15,020 15,020 Direct
2022-04-02 11,030 11,030 Direct
2025-04-02 15,420 15,420 Direct
2024-04-02 11,220 11,220 Direct
2027-04-03 25,010 25,010 Direct
2028-04-03 17,380 17,380 Direct
Footnotes
  1. Reflects a negative adjustment of 16 shares since the Reporting Person's last Form 4 to reflect an increase in the number of shares withheld to satisfy tax liabilities related to earned performance shares.
  2. Reflects an increase for 7,984 shares previously held by the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
  3. Sale pursuant to Rule 10b5-1 Trading Plan entered into on August 3, 2018.
  4. Reflects a decrease of 7,984 shares that were distributed to the reporting person.
  5. 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.