Annual Statement of Changes in Beneficial Ownership (5)
January 21 2020 - 10:51AM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0362
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
CHAPMAN STEVEN M | 2. Issuer Name and Ticker or Trading SymbolCUMMINS INC [CMI] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Group Vice President |
(Last)
(First)
(Middle)
500 JACKSON STREET | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2019 |
(Street)
COLUMBUS, IN 47201
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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) |
Amount | (A) or (D) | Price |
Common | 11/22/2019 | | G (1) | 3040.0000 | A | $0.0000 | 12535.0000 | D | |
Common | 11/22/2019 | | G (1) | 3040.0000 | D | $0.0000 | 318.0000 | I | By GRAT #1 |
Common | | | | | | | 11114.6700 (2) | I | By 401(k) Plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right-to-Buy) | $109.0900 | | | | | | 4/4/2019 | 4/4/2026 | Common | 21350.0000 | | 21350.0000 | D | |
Stock Option (Right-to-Buy) | $111.8400 | | | | | | 4/2/2015 | 4/2/2023 | Common | 8110.0000 | | 8110.0000 | D | |
Stock Option (Right-to-Buy) | $119.7700 | | | | | | 5/2/2013 | 5/2/2021 | Common | 5540.0000 | | 5540.0000 | D | |
Stock Option (Right-to-Buy) | $120.2800 | | | | | | 4/2/2014 | 4/2/2022 | Common | 6250.0000 | | 6250.0000 | D | |
Stock Option (Right-to-Buy) | $136.8200 | | | | | | 4/2/2018 | 4/2/2025 | Common | 9830.0000 | | 9830.0000 | D | |
Stock Option (Right-to-Buy) | $149.3400 | | | | | | 4/2/2017 | 4/2/2024 | Common | 7120.0000 | | 7120.0000 | D | |
Stock Option (Right-to-Buy) | $149.7200 | | | | | | 4/3/2020 | 4/3/2027 | Common | 13760.0000 | | 13760.0000 | D | |
Stock Option (Right-to-Buy) | $160.1000 | | | | | | 4/3/2021 | 4/3/2028 | Common | 9560.0000 | | 9560.0000 | D | |
Stock Option (Right-to-Buy) | $163.4300 | | | | | | 4/4/2022 | 4/4/2029 | Common | 13570.0000 | | 13570.0000 | D | |
Explanation of Responses: |
(1) | Return of shares from the Grantor Retained Annuity Trust #1. |
(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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CHAPMAN STEVEN M 500 JACKSON STREET COLUMBUS, IN 47201 |
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| Group Vice President |
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Signatures
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/s/ Mark Sifferlen, Attorney-In-Fact | | 1/21/2020 |
**Signature of Reporting Person | Date |
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