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Sec Form 4 Filing - Clulow Christopher C @ CUMMINS INC - 2020-03-01

  1. About Form 4 Filing: Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
  2. Form 4 is stored in SEC's EDGAR database. EDGAR is Electronic Data Gathering, Analysis and Retrieval System. It is a registered trademark of the SEC.

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
Clulow Christopher C
2. Issuer Name and Ticker or Trading Symbol
CUMMINS INC [ CMI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
VP - Corporate Controller
(Last)
(First)
(Middle)
500 JACKSON STREET
3. Date of Earliest Transaction (MM/DD/YY)
03/01/2020
(Street)
COLUMBUS, IN47201
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common 03/01/2020 A 1,040 A $ 0 3,123.359 D
Common 03/01/2020 F( 1 ) 323 D $ 151.29 2,800.359 D
Common 285.02 ( 2 ) I By 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right-to-Buy) $ 98.67 11/13/2015 11/13/2025 Common 300 300 D
Stock Option (Right-to-Buy) $ 99 08/03/2012 08/03/2022 Common 200 200 D
Stock Option (Right-to-Buy) $ 109.09 04/04/2019 04/04/2026 Common 1,265 1,265 D
Stock Option (Right-to-Buy) $ 111.84 04/02/2015 04/02/2023 Common 625 625 D
Stock Option (Right-to-Buy) $ 119.77 05/02/2013 05/02/2021 Common 330 330 D
Stock Option (Right-to-Buy) $ 120.28 04/02/2014 04/02/2022 Common 370 370 D
Stock Option (Right-to-Buy) $ 136.82 04/02/2018 04/02/2025 Common 585 585 D
Stock Option (Right-to-Buy) $ 149.34 04/02/2017 04/02/2024 Common 455 455 D
Stock Option (Right-to-Buy) $ 149.72 04/03/2020 04/03/2027 Common 2,190 2,190 D
Stock Option (Right-to-Buy) $ 160.1 04/03/2021 04/03/2028 Common 1,960 1,960 D
Stock Option (Right-to-Buy) $ 163.43 04/04/2022 04/04/2029 Common 3,390 3,390 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Clulow Christopher C
500 JACKSON STREET
COLUMBUS, IN47201
VP - Corporate Controller
Signatures
/s/ Mark Sifferlen, Attorney-In-Fact 03/03/2020
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Shares withheld to satisfy tax liabilities relating to earned performance shares.
( 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.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.