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CUMMINS INC — Director's Dealing 2018
Jan 23, 2018
29984_dirs_2018-01-23_1e45508d-f3a6-41d1-8995-d86840aba1af.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: CUMMINS INC (CMI)
CIK: 0000026172
Period of Report: 2017-12-31
Reporting Person: Ewald Thaddeus B (VP - Corporate Strategy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-07-08 | Common | J | 386.0000 | $0.0000 | Acquired | 3768.2930 | Direct |
| 2017-03-06 | Common | A | 177.0000 | $0.0000 | Acquired | 3957.0000 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common | 1832.3300 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right-to-Buy) | $109.0900 | 2026-04-04 | Common (10670.0000) | 10670.0000 | Direct |
| Stock Option (Right-to-Buy) | $111.8400 | 2023-04-02 | Common (1910.0000) | 1910.0000 | Direct |
| Stock Option (Right-to-Buy) | $119.7700 | 2021-05-02 | Common (980.0000) | 980.0000 | Direct |
| Stock Option (Right-to-Buy) | $120.2800 | 2022-04-02 | Common (1290.0000) | 1290.0000 | Direct |
| Stock Option (Right-to-Buy) | $136.8200 | 2025-04-02 | Common (4470.0000) | 4470.0000 | Direct |
| Stock Option (Right-to-Buy) | $149.3400 | 2024-04-02 | Common (1600.0000) | 1600.0000 | Direct |
| Stock Option (Right-to-Buy) | $149.7200 | 2027-04-03 | Common (7500.0000) | 7500.0000 | Direct |
Footnotes
F1: Represents shares beneficially held by the reporting person and inadvertently omitted from reporting person's Form 3 filing.
F2: Represents issuance of shares to reporting person not previously reported on Form 4.
F3: Includes 11.707 shares acquired under the Cummins Inc. Dividend Reinvestment Plan since the most recently filed Form 4.
F4: 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.