0001225208-21-002607.txt : 20210217 0001225208-21-002607.hdr.sgml : 20210217 20210217131121 ACCESSION NUMBER: 0001225208-21-002607 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210216 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clulow Christopher C CENTRAL INDEX KEY: 0001699982 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04949 FILM NUMBER: 21643785 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 2021-02-16 0000026172 CUMMINS INC CMI 0001699982 Clulow Christopher C 500 JACKSON STREET COLUMBUS IN 47201 1 VP - Corporate Controller Common 2021-02-16 4 M 0 330.0000 119.7700 A 3130.3590 D Common 2021-02-16 4 S 0 220.0000 246.5050 D 2910.3590 D Common 305.3800 I By 401(k) Plan Stock Option (Right-to-Buy) 119.7700 2021-02-16 4 M 0 330.0000 0.0000 D 2013-05-02 2021-05-02 Common 330.0000 0.0000 D Stock Option (Right-to-Buy) 98.6700 2015-11-13 2025-11-13 Common 300.0000 300.0000 D Stock Option (Right-to-Buy) 99.0000 2012-08-03 2022-08-03 Common 200.0000 200.0000 D Stock Option (Right-to-Buy) 109.0900 2019-04-04 2026-04-04 Common 1265.0000 1265.0000 D Stock Option (Right-to-Buy) 111.8400 2015-04-02 2023-04-02 Common 625.0000 625.0000 D Stock Option (Right-to-Buy) 120.2800 2014-04-02 2022-04-02 Common 370.0000 370.0000 D Stock Option (Right-to-Buy) 136.8200 2018-04-02 2025-04-02 Common 585.0000 585.0000 D Stock Option (Right-to-Buy) 142.1200 2023-04-06 2030-04-06 Common 3200.0000 3200.0000 D Stock Option (Right-to-Buy) 149.3400 2017-04-02 2024-04-02 Common 455.0000 455.0000 D Stock Option (Right-to-Buy) 149.7200 2020-04-03 2027-04-03 Common 2190.0000 2190.0000 D Stock Option (Right-to-Buy) 160.1000 2021-04-03 2028-04-03 Common 1960.0000 1960.0000 D Stock Option (Right-to-Buy) 163.4300 2022-04-04 2029-04-04 Common 3390.0000 3390.0000 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 2021-02-17