John D. Brockhaus - Mar 8, 2021 Form 4 Insider Report for CUMMINS INC (CMI)

Role
VP-Human Resources Operations
Signature
/s/ Sharon Barner, Attorney-in-Fact
Stock symbol
CMI
Transactions as of
Mar 8, 2021
Transactions value $
-$5,910
Form type
4
Date filed
6/4/2021, 01:52 PM
Next filing
Mar 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CMI Common Sale -$5.91K -30.1 -100.01% $196.25 0 Mar 8, 2021 By 401(k) Plan F1
holding CMI Common 3.6K Mar 8, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CMI Stock Option (Right-to-Buy) 780 Mar 8, 2021 Common 780 $109.09 Direct
holding CMI Stock Option (Right-to-Buy) 150 Mar 8, 2021 Common 150 $110.60 Direct
holding CMI Stock Option (Right-to-Buy) 450 Mar 8, 2021 Common 450 $133.94 Direct
holding CMI Stock Option (Right-to-Buy) 360 Mar 8, 2021 Common 360 $136.82 Direct
holding CMI Stock Option (Right-to-Buy) 250 Mar 8, 2021 Common 250 $141.13 Direct
holding CMI Stock Option (Right-to-Buy) 750 Mar 8, 2021 Common 750 $142.12 Direct
holding CMI Stock Option (Right-to-Buy) 280 Mar 8, 2021 Common 280 $149.34 Direct
holding CMI Stock Option (Right-to-Buy) 500 Mar 8, 2021 Common 500 $149.72 Direct
holding CMI Stock Option (Right-to-Buy) 400 Mar 8, 2021 Common 400 $151.07 Direct
holding CMI Stock Option (Right-to-Buy) 610 Mar 8, 2021 Common 610 $160.10 Direct
holding CMI Stock Option (Right-to-Buy) 300 Mar 8, 2021 Common 300 $160.63 Direct
holding CMI Stock Option (Right-to-Buy) 860 Mar 8, 2021 Common 860 $163.43 Direct
holding CMI Stock Option (Right-to-Buy) 860 Mar 8, 2021 Common 860 $207.04 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.