Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 02:27PM
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person * Narang Mahesh |
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 & President - Components |
(Last)
(First)
(Middle)
500 JACKSON STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/1/2021
|
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
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) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common |
3/1/2021 |
|
A |
|
624.0000 |
A |
$0.0000 |
2595.9050 |
D |
|
Common |
3/1/2021 |
|
F(1) |
|
195.0000 |
D |
$262.9800 |
2400.9050 |
D |
|
Common |
|
|
|
|
|
|
|
99.1900 (2) |
I |
By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
1265.0000 |
|
1265.0000 |
D |
|
Stock Option (Right-to-Buy) |
$136.8200 |
|
|
|
|
|
|
4/2/2018 |
4/2/2025 |
Common |
585.0000 |
|
585.0000 |
D |
|
Stock Option (Right-to-Buy) |
$142.1200 |
|
|
|
|
|
|
4/6/2023 |
4/6/2030 |
Common |
2665.0000 |
|
2665.0000 |
D |
|
Stock Option (Right-to-Buy) |
$149.3400 |
|
|
|
|
|
|
4/2/2017 |
4/2/2024 |
Common |
350.0000 |
|
350.0000 |
D |
|
Stock Option (Right-to-Buy) |
$149.7200 |
|
|
|
|
|
|
4/3/2020 |
4/3/2027 |
Common |
1880.0000 |
|
1880.0000 |
D |
|
Stock Option (Right-to-Buy) |
$157.4800 |
|
|
|
|
|
|
8/1/2020 |
8/1/2027 |
Common |
315.0000 |
|
315.0000 |
D |
|
Stock Option (Right-to-Buy) |
$160.1000 |
|
|
|
|
|
|
4/3/2021 |
4/3/2028 |
Common |
1960.0000 |
|
1960.0000 |
D |
|
Stock Option (Right-to-Buy) |
$163.4300 |
|
|
|
|
|
|
4/4/2022 |
4/4/2019 |
Common |
3085.0000 |
|
3085.0000 |
D |
|
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. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Narang Mahesh
500 JACKSON STREET
COLUMBUS, IN 47201 |
|
|
VP & President - Components |
|
Signatures
|
/s/ Sharon Barner,
Attorney-in-Fact |
|
3/3/2021 |
**Signature of Reporting
Person |
Date |