| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CMI | Common | Gift | $0 | +2.81K | +16.23% | $0.00 | 20.1K | Sep 16, 2021 | Direct | F1 |
| transaction | CMI | Common | Options Exercise | $1.06M | +9.7K | +48.16% | $109.09 | 29.8K | Nov 16, 2021 | Direct | |
| transaction | CMI | Common | Options Exercise | $320K | +2.86K | +9.58% | $111.84 | 32.7K | Nov 16, 2021 | Direct | |
| transaction | CMI | Common | Options Exercise | $266K | +2.21K | +6.76% | $120.28 | 34.9K | Nov 16, 2021 | Direct | |
| transaction | CMI | Common | Sale | -$1.23M | -5.2K | -14.9% | $236.95 | 29.7K | Nov 16, 2021 | Direct | F2 |
| transaction | CMI | Common | Sale | -$2.26M | -9.57K | -32.21% | $235.96 | 20.1K | Nov 16, 2021 | Direct | F3 |
| transaction | CMI | Common | Gift | $0 | -2.81K | -100% | $0.00* | 0 | Sep 16, 2021 | By Spouse | F1 |
| holding | CMI | Common | 536 | Nov 16, 2021 | By 401(k) Plan | F4 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CMI | Stock Option (Right-to-Buy) | Options Exercise | $0 | -2.21K | -100% | $0.00* | 0 | Nov 16, 2021 | Common | 2.21K | $120.28 | Direct | |
| transaction | CMI | Stock Option (Right-to-Buy) | Options Exercise | $0 | -2.86K | -100% | $0.00* | 0 | Nov 16, 2021 | Common | 2.86K | $111.84 | Direct | |
| transaction | CMI | Stock Option (Right-to-Buy) | Options Exercise | $0 | -9.7K | -100% | $0.00* | 0 | Nov 16, 2021 | Common | 9.7K | $109.09 | Direct | |
| holding | CMI | Stock Option (Right-to-Buy) | 3.35K | Nov 16, 2021 | Common | 3.35K | $136.82 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 16K | Nov 16, 2021 | Common | 16K | $142.12 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 2.14K | Nov 16, 2021 | Common | 2.14K | $149.34 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 12.5K | Nov 16, 2021 | Common | 12.5K | $149.72 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 530 | Nov 16, 2021 | Common | 530 | $154.20 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 9.56K | Nov 16, 2021 | Common | 9.56K | $160.10 | Direct | ||||||
| holding | CMI | Stock Option (Right-to-Buy) | 13.6K | Nov 16, 2021 | Common | 13.6K | $163.43 | Direct |
| Id | Content |
|---|---|
| F1 | Gift of shares from the reporting person's spouse to the reporting person's directly-held shares. |
| F2 | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $236.57 - $237.41. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
| F3 | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $235.525 - $236.4731 The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
| F4 | 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. |