Initial Statement of Beneficial Ownership (3)
March 03 2021 - 12:31PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Brockhaus John D |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/1/2021
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3. Issuer Name and Ticker or Trading Symbol
CUMMINS INC [CMI]
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(Last)
(First)
(Middle)
500 JACKSON STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) VP-Human Resources Operations / |
(Street)
COLUMBUS, IN 47201
(City)
(State)
(Zip)
| 5. 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common | 3479.0000 | D | |
Common | 22.0200 (1) | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right-to-Buy) | 4/4/2019 | 4/4/2026 | Common | 780.0000 | $109.0900 | D | |
Stock Option (Right-to-Buy) | 5/3/2013 | 5/3/2023 | Common | 150.0000 | $110.6000 | D | |
Stock Option (Right-to-Buy) | 6/26/2018 | 6/26/2028 | Common | 450.0000 | $133.9400 | D | |
Stock Option (Right-to-Buy) | 4/2/2018 | 4/2/2025 | Common | 360.0000 | $136.8200 | D | |
Stock Option (Right-to-Buy) | 5/1/2015 | 5/1/2025 | Common | 250.0000 | $141.1300 | D | |
Stock Option (Right-to-Buy) | 4/6/2023 | 4/6/2030 | Common | 750.0000 | $142.1200 | D | |
Stock Option (Right-to-Buy) | 4/2/2017 | 4/2/2024 | Common | 280.0000 | $149.3400 | D | |
Stock Option (Right-to-Buy) | 4/3/2020 | 4/3/2027 | Common | 500.0000 | $149.7200 | D | |
Stock Option (Right-to-Buy) | 8/13/2019 | 8/13/2029 | Common | 400.0000 | $151.0700 | D | |
Stock Option (Right-to-Buy) | 4/3/2021 | 4/3/2028 | Common | 610.0000 | $160.1000 | D | |
Stock Option (Right-to-Buy) | 6/1/2017 | 6/1/2027 | Common | 300.0000 | $160.6300 | D | |
Stock Option (Right-to-Buy) | 4/4/2022 | 4/4/2029 | Common | 860.0000 | $163.4300 | D | |
Stock Option (Right-to-Buy) | 10/1/2023 | 10/1/2030 | Common | 860.0000 | $207.0400 | D | |
Explanation of Responses: |
(1) | 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 |
Brockhaus John D 500 JACKSON STREET COLUMBUS, IN 47201 |
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| VP-Human Resources Operations |
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Signatures
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/s/ Sharon Barner, Attorney-in-Fact | | 3/3/2021 |
**Signature of Reporting Person | Date |
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