S-8 1 a17-14455_2s8.htm S-8

 

As filed with the United States Securities and Exchange Commission on May 31, 2017

Registration No. 333-              

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


 

FORM S-8

 

REGISTRATION STATEMENT

Under
THE SECURITIES ACT OF 1933

 


 

CUMMINS INC.

(Exact name of registrant as specified in its charter)

 

Indiana

 

35-0257090

(State or Other Jurisdiction of

 

(I.R.S. Employer

Incorporation or Organization)

 

Identification No.)

 

500 Jackson Street

Box 3005

Columbus, Indiana 47202-3005

(Address, Including Zip Code, of Principal Executive Offices)

 


 

Cummins Inc. Employee Stock Purchase Plan

(Full Title of the Plan)

 


 

Sharon R. Barner

Vice President—General Counsel

500 Jackson Street

P.O. Box 3005

Columbus, Indiana 47202-3005

(812) 377-3609

(Name, Address and Telephone Number, Including Area Code, of Agent for Service)

 

COPY TO:

 

Mark Sifferlen

Vice President - Ethics & Compliance and

Corporate Secretary

500 Jackson Street
P.O. Box 3005
Columbus, Indiana 47202-3005

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company.  See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer x Accelerated filer o Non-accelerated filer  o Smaller reporting company o Emerging growth company o

(Do not check if smaller reporting company)

 


 

CALCULATION OF REGISTRATION FEE

 

 

 

 

 

 

 

 

 

 

 

Title of Securities
To Be Registered

 

Amount
To Be
Registered(1)

 

Proposed
Maximum
Offering Price
Per Unit(2)

 

Proposed
Maximum
Aggregate Offering
Price(2)

 

Amount of
Registration Fee

 

Common Stock, par value $2.50 per share

 

1,000,000

 

$

155.04

 

$

155,040,000

 

$

17,970

 

 

(1)                                 This Registration Statement covers, in addition to the number of shares of Common Stock stated above, rights to purchase or acquire the shares of Common Stock covered by the prospectus of the above-named plan, and, pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), any additional shares of Common Stock which become issuable under the above-named plan by reason of any stock dividend, stock split, recapitalization or other similar transaction that results in an adjustment in the number of outstanding shares of Common Stock.

(2)                                 Pursuant to Rule 457(h) and (c) promulgated under the Securities Act, the maximum offering price, per share and in the aggregate, and the registration fee were calculated based upon the average of the high and low prices of the Common Stock on May 24, 2017, as reported on the New York Stock Exchange.

 

Pursuant to Rule 429 under the Securities Act, the Prospectus referred to herein also relates to the Company’s Registration Statement on Form S-8 (Registration No. 333-67391).

 

 

 



 

STATEMENT PURSUANT TO GENERAL INSTRUCTION E TO FORM S-8

 

The purpose of this Registration Statement is to register 1,000,000 additional shares of Common Stock, par value $2.50 per share (the “Common Stock”), of Cummins Inc. (the “Company” or the “Registrant”) in connection with the Company’s Employee Stock Purchase Plan.

 

Pursuant to General Instruction E of Form S-8, the contents of the Company’s Registration Statement on Form S-8 (Registration No. 333-67391), including the documents incorporated by reference therein, are incorporated by reference into this Registration Statement, except as set forth below.

 

PART II

 

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

 

Item 8.                                 Exhibits.

 

The exhibits filed herewith or incorporated herein by reference are set forth in the attached Exhibit Index.

 

Item 9.                                 Undertakings.

 

(a)                                 The undersigned Registrant hereby undertakes:

 

(1)                                       To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement:

 

(i)                           To include any prospectus required by Section 10(a)(3) of the Securities Act of 1933;

 

(ii)                        To reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the Registration Statement.  Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Securities and Exchange Commission (the “Commission”) pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement; and

 

(iii)                     To include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the Registration Statement;

 

provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in reports filed with or furnished to the Commission by the Registrant pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 (the “Exchange Act”) that are incorporated by reference in the Registration Statement.

 

(2)                                       That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

 

(3)                                       To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.

 

(b)                                 The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act of 1933, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act that is incorporated by reference in this Registration Statement shall be deemed to be a new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

 

(c)                                  Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director,

 

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officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.

 

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SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Columbus, State of Indiana, on this 31st day of May, 2017.

 

 

CUMMINS INC.

 

 

 

 

By:

/s/ Christopher C. Clulow

 

 

Christopher C. Clulow

 

 

Vice President — Corporate Controller

 

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons on May 31, 2017 in the capacities indicated. Each person whose signature appears below constitutes and appoints Marya M. Rose, Mark R. Sifferlen, Christopher C. Clulow, and Patrick J. Ward, and each of them individually, his or her true and lawful attorney-in-fact and agent, with full power of substitution and revocation, for him or her and in his or her name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, may lawfully do or cause to be done by virtue hereof.

 

Signature

 

Title

 

 

 

/s/ N. Thomas Linebarger

 

Director and Chairman of the Board and Chief Executive Officer

N. Thomas Linebarger

 

(Principal Executive Officer)

 

 

 

/s/ Patrick J. Ward

 

Vice President — Chief Financial Officer

Patrick J. Ward

 

(Principal Financial Officer)

 

 

 

/s/ Christopher C. Clulow

 

Vice President — Corporate Controller

Christopher C. Clulow

 

(Principal Accounting Officer)

 

 

 

/s/ Robert J. Bernhard

 

Director

Robert J. Bernhard

 

 

 

 

 

/s/ Franklin R. Chang Diaz

 

Director

Franklin R. Chang Diaz

 

 

 

 

 

/s/ Bruno V. Di Leo

 

Director

Bruno V. Di Leo

 

 

 

 

 

/s/ Stephen B. Dobbs

 

Director

Stephen B. Dobbs

 

 

 

 

 

/s/ Robert K. Herdman

 

Director

Robert K. Herdman

 

 

 

 

 

/s/ Alexis M. Herman

 

Director

Alexis M. Herman

 

 

 

 

 

/s/ Thomas J. Lynch

 

Director

Thomas J. Lynch

 

 

 

 

 

/s/ William I. Miller

 

Director

William I. Miller

 

 

 

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Signature

 

Title

 

 

 

/s/ Georgia R. Nelson

 

Director

Georgia R. Nelson

 

 

 

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EXHIBIT INDEX

 

Exhibit
Number

 

Document Description

 

 

 

4.1

 

Restated Articles of Incorporation, as amended (incorporated by reference to Exhibit 3(a) to the Company’s Quarterly Report on Form 10-Q for the quarter ended June 28, 2009).

 

 

 

4.2

 

By-laws, as amended and restated effective as of May 9, 2017 (incorporated by reference to Annex B to the Company’s Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on March 27, 2017).

 

 

 

4.3

 

Employee Stock Purchase Plan, as amended (incorporated by reference to Annex B to the Company’s Definitive Proxy Statement filed with the Securities and Exchange Commission on Schedule 14A on March 27, 2012).

 

 

 

23

 

Consent of PricewaterhouseCoopers LLP.*

 

 

 

24

 

Powers of Attorney (included on the signature page to this Registration Statement).

 

Documents incorporated by reference to filings made by the Company under the Securities Exchange Act of 1934, as amended, are under Securities and Exchange Commission File No. 001-04949.

 


*  Filed herewith.

 

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