0001225208-21-002608.txt : 20210217 0001225208-21-002608.hdr.sgml : 20210217 20210217131131 ACCESSION NUMBER: 0001225208-21-002608 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: Satterthwaite Tony CENTRAL INDEX KEY: 0001438353 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04949 FILM NUMBER: 21643786 MAIL ADDRESS: STREET 1: 1400 73RD AVENUE NE CITY: MINNEAPOLIS STATE: MN ZIP: 55432 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 0001438353 Satterthwaite Tony 500 JACKSON STREET COLUMBUS IN 47201 1 President & COO Common 2021-02-16 4 M 0 8150.0000 119.7700 A 58543.0000 D Common 2021-02-16 4 S 0 5852.0000 245.1090 D 52691.0000 D Common 2898.7200 I By 401(k) Plan Stock Option (Right-to-Buy) 119.7700 2021-02-16 4 M 0 8150.0000 0.0000 D 2013-05-02 2021-05-02 Common 8150.0000 0.0000 D Stock Option (Right-to-Buy) 109.0900 2019-04-04 2026-04-04 Common 24250.0000 24250.0000 D Stock Option (Right-to-Buy) 111.8400 2015-04-02 2023-04-02 Common 11920.0000 11920.0000 D Stock Option (Right-to-Buy) 120.2800 2014-04-02 2022-04-02 Common 9190.0000 9190.0000 D Stock Option (Right-to-Buy) 136.8200 2018-04-02 2025-04-02 Common 11170.0000 11170.0000 D Stock Option (Right-to-Buy) 142.1200 2023-04-06 2030-04-06 Common 24510.0000 24510.0000 D Stock Option (Right-to-Buy) 149.3400 2017-04-02 2024-04-02 Common 8910.0000 8910.0000 D Stock Option (Right-to-Buy) 149.7200 2020-04-03 2027-04-03 Common 15630.0000 15630.0000 D Stock Option (Right-to-Buy) 160.1000 2021-04-03 2028-04-03 Common 10860.0000 10860.0000 D Stock Option (Right-to-Buy) 163.4300 2022-04-04 2029-04-04 Common 15420.0000 15420.0000 D Stock Option (Right-to-Buy) 166.1800 2022-10-16 2029-10-16 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 2021-02-17