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CUMMINS INC — Director's Dealing 2017
May 3, 2017
29984_dirs_2017-05-03_a60e7a0f-2ee2-465a-af6e-7249dc7f25d4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CUMMINS INC (CMI)
CIK: 0000026172
Period of Report: 2017-05-01
Reporting Person: JACKSON DONALD G (VP and Treasurer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-01 | Stock Option (Right-to-Buy) | $149.7200 | A | 2810.0000 | Acquired | 2027-04-03 | Common (2810.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common | 251.9379 | Direct |
| Common | 180.5700 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right-to-Buy) | $109.0900 | 2026-04-04 | Common (3390.0000) | 3390.0000 | Direct |
| Stock Option (Right-to-Buy) | $136.8200 | 2025-04-02 | Common (1340.0000) | 1340.0000 | Direct |
| Stock Option (Right-to-Buy) | $149.3400 | 2024-04-02 | Common (350.0000) | 350.0000 | Direct |
Footnotes
F1: Reflects 178.9969 shares that had been acquired in exempt transactions under an employee stock purchase plan and dividend reinvestment program but not previously reflected on a Form 4.
F2: 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.