0001225208-21-002126.txt : 20210211 0001225208-21-002126.hdr.sgml : 20210211 20210211084613 ACCESSION NUMBER: 0001225208-21-002126 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210209 FILED AS OF DATE: 20210211 DATE AS OF CHANGE: 20210211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ewald Thaddeus B CENTRAL INDEX KEY: 0001613720 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04949 FILM NUMBER: 21616952 MAIL ADDRESS: STREET 1: 500 JACKSON STREET CITY: COLUMBUS STATE: IN ZIP: 47201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CUMMINS INC CENTRAL INDEX KEY: 0000026172 STANDARD INDUSTRIAL CLASSIFICATION: ENGINES & TURBINES [3510] IRS NUMBER: 350257090 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 JACKSON ST STREET 2: BOX 3005 MAIL CODE 60207 CITY: COLUMBUS STATE: IN ZIP: 47202-3005 BUSINESS PHONE: 8123773842 MAIL ADDRESS: STREET 1: BOX 3005 MAIL CODE 60207 STREET 2: 500 CITY: COLUMBUS STATE: IN ZIP: 47202-3005 FORMER COMPANY: FORMER CONFORMED NAME: CUMMINS ENGINE CO INC DATE OF NAME CHANGE: 19920703 4 1 doc4.xml X0306 4 2021-02-09 0000026172 CUMMINS INC CMI 0001613720 Ewald Thaddeus B 500 JACKSON STREET COLUMBUS IN 47201 1 VP - Corporate Strategy Common 2021-02-09 4 M 0 980.0000 119.7700 A 9656.0000 D Common 2021-02-09 4 S 0 650.0000 244.2650 D 9006.0000 D Common 2196.0300 I By 401(k) Plan Stock Option (Right-to-Buy) 119.7700 2021-02-09 4 M 0 980.0000 0.0000 D 2014-05-02 2021-05-02 Common 980.0000 0.0000 D Stock Option (Right-to-Buy) 109.0900 2019-04-04 2026-04-04 Common 10670.0000 10670.0000 D Stock Option (Right-to-Buy) 111.8400 2016-04-02 2023-04-02 Common 1910.0000 1910.0000 D Stock Option (Right-to-Buy) 120.2800 2015-04-02 2022-04-02 Common 1290.0000 1290.0000 D Stock Option (Right-to-Buy) 136.8200 2018-04-02 2025-04-02 Common 4470.0000 4470.0000 D Stock Option (Right-to-Buy) 142.1200 2023-04-06 2030-04-06 Common 8530.0000 8530.0000 D Stock Option (Right-to-Buy) 146.1800 2017-11-01 2024-11-01 Common 890.0000 890.0000 D Stock Option (Right-to-Buy) 149.3400 2017-04-02 2024-04-02 Common 1600.0000 1600.0000 D Stock Option (Right-to-Buy) 149.7200 2020-04-03 2027-04-03 Common 7500.0000 7500.0000 D Stock Option (Right-to-Buy) 160.1000 2021-04-03 2028-04-03 Common 6520.0000 6520.0000 D Stock Option (Right-to-Buy) 163.4300 2022-04-04 2029-04-04 Common 9250.0000 9250.0000 D The stock options exercised and reported on this Form 4 were exercised in "sell-to-cover" transactions with respect to stock options that were set to expire in the near term. Any shares sold in such transactions were sold solely to cover the exercise price, fees and taxes associated with the stock option exercises. 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. /s/ Sharon Barner, Attorney-in-Fact 2021-02-11