Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 1:37PM
Edgar (US Regulatory)
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 OF SECURITIES
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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
*
Smith Mark Andrew |
2. Issuer Name and Ticker or Trading Symbol
CUMMINS INC
[
CMI
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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/YYYY)
3/1/2021 |
(Street)
COLUMBUS, IN 47201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common | 3/1/2021 | | A | | 1920.0000 | A | $0.0000 | 8339.0000 | D | |
Common | 3/1/2021 | | F(1) | | 549.0000 | D | $262.9800 | 7790.0000 | D | |
Table II - Derivative Securities 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 | 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 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) | $109.0900 | | | | | | | 4/4/2019 | 4/4/2026 | Common | 4360.0000 | | 4360.0000 | D | |
Stock Option (Right-to-Buy) | $111.8400 | | | | | | | 4/2/2015 | 4/2/2023 | Common | 770.0000 | | 770.0000 | D | |
Stock Option (Right-to-Buy) | $114.1300 | | | | | | | 6/1/2019 | 6/1/2026 | Common | 970.0000 | | 970.0000 | D | |
Stock Option (Right-to-Buy) | $120.2800 | | | | | | | 4/2/2014 | 4/2/2022 | Common | 590.0000 | | 590.0000 | D | |
Stock Option (Right-to-Buy) | $136.8200 | | | | | | | 4/2/2018 | 4/2/2025 | Common | 1790.0000 | | 1790.0000 | D | |
Stock Option (Right-to-Buy) | $142.1200 | | | | | | | 4/6/2023 | 4/6/2030 | Common | 21310.0000 | | 21310.0000 | D | |
Stock Option (Right-to-Buy) | $149.3400 | | | | | | | 4/2/2017 | 4/2/2024 | Common | 1070.0000 | | 1070.0000 | D | |
Stock Option (Right-to-Buy) | $149.7200 | | | | | | | 4/3/2020 | 4/3/2027 | Common | 4380.0000 | | 4380.0000 | D | |
Stock Option (Right-to-Buy) | $160.1000 | | | | | | | 4/3/2021 | 4/3/2028 | Common | 6080.0000 | | 6080.0000 | D | |
Stock Option (Right-to-Buy) | $163.4300 | | | | | | | 4/4/2022 | 4/4/2029 | Common | 21580.0000 | | 21580.0000 | D | |
Explanation of Responses: |
(1) | Shares withheld to satisfy tax liabilities relating to earned performance shares. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Smith Mark Andrew 500 JACKSON STREET COLUMBUS, IN 47201 |
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| VP - Chief Financial Officer |
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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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