Tony Satterthwaite - 31 Dec 2021 Form 5 Insider Report for CUMMINS INC (CMI)

Role
Vice Chairman
Signature
/s/ Sharon Barner, Attorney-in-Fact
Issuer symbol
CMI
Transactions as of
31 Dec 2021
Net transactions value
$0
Form type
5
Filing time
05 Jan 2022, 10:12:51 UTC
Previous filing
23 Nov 2021
Next filing
03 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CMI Common Award $0 +4,408 +8% $0.000000 59,517 13 Dec 2021 Direct F1
holding CMI Common 3,012 31 Dec 2021 By 401(k) Plan F2

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) 24,250 31 Dec 2021 Common 24,250 $109.09 Direct
holding CMI Stock Option (Right-to-Buy) 11,920 31 Dec 2021 Common 11,920 $111.84 Direct
holding CMI Stock Option (Right-to-Buy) 11,170 31 Dec 2021 Common 11,170 $136.82 Direct
holding CMI Stock Option (Right-to-Buy) 24,510 31 Dec 2021 Common 24,510 $142.12 Direct
holding CMI Stock Option (Right-to-Buy) 8,910 31 Dec 2021 Common 8,910 $149.34 Direct
holding CMI Stock Option (Right-to-Buy) 15,630 31 Dec 2021 Common 15,630 $149.72 Direct
holding CMI Stock Option (Right-to-Buy) 10,860 31 Dec 2021 Common 10,860 $160.10 Direct
holding CMI Stock Option (Right-to-Buy) 15,420 31 Dec 2021 Common 15,420 $163.43 Direct
holding CMI Stock Option (Right-to-Buy) 9,250 31 Dec 2021 Common 9,250 $166.18 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Earned performance-based restricted stock units that vest 3/1/2022.
F2 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.