Statement of Changes in Beneficial Ownership (4)
November 12 2021 - 4:46PM
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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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Fier Walter J |
2. Issuer Name and Ticker or Trading Symbol
CUMMINS INC
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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 Technical Officer |
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(Last)
(First)
(Middle)
500 JACKSON STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/11/2021 |
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(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 | 11/11/2021 | | M | | 3390.0000 | A | $109.0900 | 7093.6920 | D | |
| Common | 11/11/2021 | | M | | 2810.0000 | A | $149.7200 | 9903.6920 | D | |
| Common | 11/11/2021 | | M | | 1960.0000 | A | $160.1000 | 11863.6920 | D | |
| Common | 11/11/2021 | | M | | 1340.0000 | A | $136.8200 | 13203.6920 | D | |
| Common | 11/11/2021 | | M | | 560.0000 | A | $149.3400 | 13763.6920 | D | |
| Common | 11/11/2021 | | S | | 35.0000 | D | $234.6900 | 13728.6920 | D | |
| Common | 11/11/2021 | | S | | 1982.0000 | D | $236.2037 (1) | 11746.6920 | D | |
| Common | 11/11/2021 | | S | | 5343.0000 | D | $235.5266 (2) | 6403.6920 | D | |
| Common | | | | | | | | 82.2450 | I | By Spouse |
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) | $149.3400 | 11/11/2021 | | M | | | 560.0000 | 4/2/2017 | 4/2/2024 | Common | 560.0000 | $0.0000 | 0.0000 | D | |
| Stock Option (Right-to-Buy) | $136.8200 | 11/11/2021 | | M | | | 1340.0000 | 4/2/2018 | 4/2/2025 | Common | 1340.0000 | $0.0000 | 0.0000 | D | |
| Stock Option (Right-to-Buy) | $149.7200 | 11/11/2021 | | M | | | 2810.0000 | 4/3/2020 | 4/3/2027 | Common | 2810.0000 | $0.0000 | 0.0000 | D | |
| Stock Option (Right-to-Buy) | $160.1000 | 11/11/2021 | | M | | | 1960.0000 | 4/3/2021 | 4/3/2028 | Common | 1960.0000 | $0.0000 | 0.0000 | D | |
| Stock Option (Right-to-Buy) | $109.0900 | 11/11/2021 | | M | | | 3390.0000 | 4/4/2019 | 4/4/2026 | Common | 3390.0000 | $0.0000 | 0.0000 | D | |
| Stock Option (Right-to-Buy) | $142.1200 | | | | | | | 4/6/2023 | 4/6/2030 | Common | 5330.0000 | | 5330.0000 | D | |
| Stock Option (Right-to-Buy) | $163.4300 | | | | | | | 4/4/2022 | 4/4/2029 | Common | 3085.0000 | | 3085.0000 | D | |
| Stock Option (Right-to-Buy) | $166.1800 | | | | | | | 10/16/2022 | 10/16/2029 | Common | 1235.0000 | | 1235.0000 | D | |
| Explanation of Responses: |
| (1) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $236.0100 - $236.3500. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
| (2) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $235.0000 - $235.9500. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Fier Walter J
500 JACKSON STREET
COLUMBUS, IN 47201 |
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| VP - Chief Technical Officer |
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Signatures
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| /s/ Sharon Barner, Attorney-in-Fact | | 11/12/2021 |
| **Signature of Reporting Person | Date |
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