AI assistant
CUMMINS INC — Director's Dealing 2017
Oct 3, 2017
29984_dirs_2017-10-03_86a19340-7a54-4100-9ba9-52fe4b6ae121.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CUMMINS INC (CMI)
CIK: 0000026172
Period of Report: 2017-05-06
Reporting Person: Ward Pat (VP - Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-06 | Common | G | 3024.0000 | $0.0000 | Disposed | 2221.0000 | Direct |
| 2017-05-19 | Common | G | 5000.0000 | $0.0000 | Acquired | 7221.0000 | Direct |
| 2017-05-19 | Common | G | 2221.0000 | $0.0000 | Disposed | 5000.0000 | Direct |
| 2017-05-06 | Common | G | 3024.0000 | $0.0000 | Acquired | 27729.0000 | Indirect |
| 2017-05-19 | Common | G | 2221.0000 | $0.0000 | Acquired | 29950.0000 | Indirect |
| 2017-05-19 | Common | G | 5000.0000 | $0.0000 | Disposed | 24950.0000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common | 1177.2700 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right-to-Buy) | $109.0900 | 2026-04-04 | Common (38810.0000) | 38810.0000 | Direct |
| Stock Option (Right-to-Buy) | $111.8400 | 2023-04-02 | Common (15020.0000) | 15020.0000 | Direct |
| Stock Option (Right-to-Buy) | $120.2800 | 2022-04-02 | Common (11030.0000) | 11030.0000 | Direct |
| Stock Option (Right-to-Buy) | $136.8200 | 2025-04-02 | Common (15420.0000) | 15420.0000 | Direct |
| Stock Option (Right-to-Buy) | $149.3400 | 2024-04-02 | Common (11220.0000) | 11220.0000 | Direct |
| Stock Option (Right-to-Buy) | $149.7200 | 2027-04-03 | Common (25010.0000) | 25010.0000 | Direct |
Footnotes
F1: Reflects 3,024 shares previously held directly by the reporting person that were transferred to the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F2: Reflects an increase for 5,000 shares previously held by the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F3: Reflects 2,221 shares previously held directly by the reporting person that were transferred to the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F4: Reflects a decrease for 5,000 shares that were distributed to the reporting person.
F5: 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.