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CMI Cummins Inc

283.39
2.65 (0.94%)
Last Updated: 18:53:46
Delayed by 15 minutes
Share Name Share Symbol Market Type
Cummins Inc NYSE:CMI NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  2.65 0.94% 283.39 286.94 283.05 284.22 220,240 18:53:46

Statement of Changes in Beneficial Ownership (4)

03/03/2021 6:36pm

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 *

Kennedy Melina M
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-Product Compl.-Reg. Affairs
(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  192.0000 A$0.0000 1247.3380 (1)D  
Common 3/1/2021  F(2)  68.0000 D$262.9800 1179.3380 D  

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right-to-Buy) $97.2000           5/18/2015 5/18/2022 Common 50.0000  50.0000 D  
Stock Option (Right-to-Buy) $101.0100           8/7/2015 8/7/2022 Common 50.0000  50.0000 D  
Stock Option (Right-to-Buy) $102.9700           5/15/2015 5/15/2022 Common 50.0000  50.0000 D  
Stock Option (Right-to-Buy) $109.0900           4/4/2019 4/4/2026 Common 780.0000  780.0000 D  
Stock Option (Right-to-Buy) $111.8400           4/2/2016 4/2/2023 Common 145.0000  145.0000 D  
Stock Option (Right-to-Buy) $131.0700           12/26/2021 12/26/2028 Common 50.0000  50.0000 D  
Stock Option (Right-to-Buy) $134.4000           12/11/2021 12/11/2028 Common 100.0000  100.0000 D  
Stock Option (Right-to-Buy) $135.6600           6/23/2018 6/23/2025 Common 50.0000  50.0000 D  
Stock Option (Right-to-Buy) $136.8200           4/2/2018 4/2/2025 Common 360.0000  360.0000 D  
Stock Option (Right-to-Buy) $139.3900           7/31/2017 7/31/2024 Common 100.0000  100.0000 D  
Stock Option (Right-to-Buy) $142.1200           4/6/2023 4/6/2030 Common 1870.0000  1870.0000 D  
Stock Option (Right-to-Buy) $149.3400           4/2/2017 4/2/2024 Common 210.0000  210.0000 D  
Stock Option (Right-to-Buy) $149.7200           4/3/2020 4/3/2027 Common 2500.0000  2500.0000 D  
Stock Option (Right-to-Buy) $152.0600           8/21/2020 8/21/2027 Common 50.0000  50.0000 D  
Stock Option (Right-to-Buy) $160.1000           4/3/2021 4/3/2028 Common 610.0000  610.0000 D  
Stock Option (Right-to-Buy) $160.1600           8/4/2020 8/4/2027 Common 50.0000  50.0000 D  
Stock Option (Right-to-Buy) $163.4300           4/4/2022 4/4/2029 Common 860.0000  860.0000 D  
Stock Option (Right-to-Buy) $166.1800           10/16/2022 10/16/2029 Common 990.0000  990.0000 D  

Explanation of Responses:
(1) Includes 9.729 shares acquired under the Cummins Inc. Dividend Reinvestment Plan since the most recently filed Form 4.
(2) Shares withheld to satisfy tax liabilities relating to earned performance shares.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Kennedy Melina M
500 JACKSON STREET
COLUMBUS, IN 47201


VP-Product Compl.-Reg. Affairs

Signatures
/s/ Sharon Barner, Attorney-in-Fact3/3/2021
**Signature of Reporting PersonDate

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