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CUMMINS INC — Director's Dealing 2021
Nov 12, 2021
29984_dirs_2021-11-12_8d76f8f3-3b5e-44f2-a2c5-2d90526d06ca.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: 2021-11-10
Reporting Person: Barner Sharon R (VP - Chief Administrative Off.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-10 | Common | M | 8040.0000 | $136.8200 | Acquired | 22226.0000 | Direct |
| 2021-11-10 | Common | M | 6680.0000 | $111.8400 | Acquired | 28906.0000 | Direct |
| 2021-11-10 | Common | M | 5700.0000 | $149.3400 | Acquired | 34606.0000 | Direct |
| 2021-11-10 | Common | M | 4410.0000 | $120.2800 | Acquired | 39016.0000 | Direct |
| 2021-11-10 | Common | S | 700.0000 | $238.3307 | Disposed | 38316.0000 | Direct |
| 2021-11-10 | Common | S | 10390.0000 | $237.7026 | Disposed | 27926.0000 | Direct |
| 2021-11-10 | Common | S | 13700.0000 | $238.0503 | Disposed | 14226.0000 | Direct |
| 2021-11-11 | Common | S | 40.0000 | $237.9500 | Disposed | 14186.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-10 | Stock Option (Right-to-Buy) | $120.2800 | M | 4410.0000 | Disposed | 2022-04-02 | Common (4410.0000) | Direct |
| 2021-11-10 | Stock Option (Right-to-Buy) | $111.8400 | M | 6680.0000 | Disposed | 2023-04-02 | Common (6680.0000) | Direct |
| 2021-11-10 | Stock Option (Right-to-Buy) | $149.3400 | M | 5700.0000 | Disposed | 2024-04-02 | Common (5700.0000) | Direct |
| 2021-11-10 | Stock Option (Right-to-Buy) | $136.8200 | M | 8040.0000 | Disposed | 2025-04-02 | Common (8040.0000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right-to-Buy) | $109.0900 | 2026-04-04 | Common (19410.0000) | 19410.0000 | Direct |
| Stock Option (Right-to-Buy) | $142.1200 | 2030-04-06 | Common (15990.0000) | 15990.0000 | Direct |
| Stock Option (Right-to-Buy) | $149.7200 | 2027-04-03 | Common (12510.0000) | 12510.0000 | Direct |
| Stock Option (Right-to-Buy) | $160.1000 | 2028-04-03 | Common (9560.0000) | 9560.0000 | Direct |
| Stock Option (Right-to-Buy) | $163.4300 | 2029-04-04 | Common (15420.0000) | 15420.0000 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $238.2850 - $239.4100. 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.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $237.2066 - $238.2050. 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.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $237.9500 - $238.3100. 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.