Sec Form 4 Filing - Smith Mark Andrew @ CUMMINS INC - 2021-02-09

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

OMB APPROVAL OMB Number: 3235-0287 Expires: November 30, 2011 Estimated average burden hours per response... 0.5

1. Name and Address of Reporting Person Smith Mark Andrew 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 - Chief Financial Officer (Last) (First) (Middle) 500 JACKSON STREET 3. Date of Earliest Transaction (MM/DD/YY) 02/09/2021 (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 02/09/2021 M( 1 ) 528 A $ 119.77 6,771 D Common 02/09/2021 S( 1 ) 352 D $ 244.643 6,419 D

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) $ 119.77 02/09/2021 M( 1 ) 528 05/02/2013 05/02/2021 Common 528 $ 0 0 D Stock Option (Right-to-Buy) $ 109.09 04/04/2019 04/04/2026 Common 4,360 4,360 D Stock Option (Right-to-Buy) $ 111.84 04/02/2015 04/02/2023 Common 770 770 D Stock Option (Right-to-Buy) $ 114.13 06/01/2019 06/01/2026 Common 970 970 D Stock Option (Right-to-Buy) $ 120.28 04/02/2014 04/02/2022 Common 590 590 D Stock Option (Right-to-Buy) $ 136.82 04/02/2018 04/02/2025 Common 1,790 1,790 D Stock Option (Right-to-Buy) $ 142.12 04/06/2023 04/06/2030 Common 21,310 21,310 D Stock Option (Right-to-Buy) $ 149.34 04/02/2017 04/02/2024 Common 1,070 1,070 D Stock Option (Right-to-Buy) $ 149.72 04/03/2020 04/03/2027 Common 4,380 4,380 D Stock Option (Right-to-Buy) $ 160.1 04/03/2021 04/03/2028 Common 6,080 6,080 D Stock Option (Right-to-Buy) $ 163.43 04/04/2022 04/04/2029 Common 21,580 21,580 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Smith Mark Andrew 500 JACKSON STREET COLUMBUS, IN47201 VP - Chief Financial Officer Signatures /s/ Sharon Barner, Attorney-in-Fact 02/11/2021 Signature of Reporting Person Date

Explanation of Responses:

( 1 )The stock options exercised and reported on this Form 4 were exercised in "sell-to-cover" transactions with respect to stock options that were set to expire in the near term. Any shares sold in such transactions were sold solely to cover the exercise price, fees and taxes associated with the stock option exercises.

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.