Statement of Changes in Beneficial Ownership (4)
June 03 2020 - 11:23AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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JACKSON DONALD G |
2. Issuer Name and Ticker or Trading Symbol
CUMMINS INC
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CMI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
VP - Treasury & Tax |
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(Last)
(First)
(Middle)
500 JACKSON STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2020 |
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(Street)
COLUMBUS, IN 47201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common | | | | | | | | 1841.9379 | D | |
| Common | | | | | | | | 196.5200 (1) | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right-to-Buy) | $169.8300 | 6/1/2020 | | A | | 270.0000 | | 6/1/2023 | 6/1/2030 | Common | 270.0000 | $0.0000 | 270.0000 | D | |
| Stock Option (Right-to-Buy) | $109.0900 | | | | | | | 4/4/2019 | 4/4/2026 | Common | 3390.0000 | | 3390.0000 | D | |
| Stock Option (Right-to-Buy) | $136.8200 | | | | | | | 4/2/2018 | 4/2/2025 | Common | 1340.0000 | | 1340.0000 | D | |
| Stock Option (Right-to-Buy) | $142.1200 | | | | | | | 4/6/2023 | 4/6/2030 | Common | 2930.0000 | | 2930.0000 | D | |
| Stock Option (Right-to-Buy) | $149.3400 | | | | | | | 4/2/2017 | 4/2/2024 | Common | 350.0000 | | 350.0000 | D | |
| Stock Option (Right-to-Buy) | $149.7200 | | | | | | | 4/3/2020 | 4/3/2027 | Common | 2810.0000 | | 2810.0000 | D | |
| Stock Option (Right-to-Buy) | $160.1000 | | | | | | | 4/3/2021 | 4/3/2028 | Common | 2175.0000 | | 2175.0000 | D | |
| Stock Option (Right-to-Buy) | $163.4300 | | | | | | | 4/4/2022 | 4/4/2029 | Common | 3390.0000 | | 3390.0000 | D | |
| Explanation of Responses: |
| (1) | 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
JACKSON DONALD G
500 JACKSON STREET
COLUMBUS, IN 47201 |
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| VP - Treasury & Tax |
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Signatures
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| /s/ Mark Sifferlen, Attorney-In-Fact | | 6/3/2020 |
| **Signature of Reporting Person | Date |
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