Jennifer Rumsey - 31 Mar 2022 Form 4 Insider Report for CUMMINS INC (CMI)

Role
President & COO, Director
Signature
/s/ Sharon Barner, Attorney-in-Fact
Issuer symbol
CMI
Transactions as of
31 Mar 2022
Net transactions value
-$16,567
Form type
4
Filing time
04 Apr 2022, 09:54:05 UTC
Previous filing
03 Mar 2022
Next filing
08 Dec 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CMI Common Gift $0 -4,497 -96% $0.000000 176 09 Mar 2021 Direct F1
transaction CMI Common Gift $0 -176 -100% $0.000000* 0 28 Apr 2021 Direct F2
transaction CMI Common Options Exercise $70,965 +590 +31% $120.28 2,472 31 Mar 2022 Direct F3
transaction CMI Common Sale $87,532 -420 -17% $208.41 2,052 31 Mar 2022 Direct F3
transaction CMI Common Gift $0 +4,497 +97% $0.000000 9,145 09 Mar 2021 By Trust F1
transaction CMI Common Gift $0 +176 +1.9% $0.000000 9,321 28 Apr 2021 By Trust F2
holding CMI Common 1,385 31 Mar 2022 By 401(k) Plan F4

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
transaction CMI Stock Option (Right-to-Buy) Options Exercise $0 -590 -100% $0.000000* 0 31 Mar 2022 Common 590 $120.28 Direct F3
holding CMI Stock Option (Right-to-Buy) 11,640 31 Mar 2022 Common 11,640 $109.09 Direct
holding CMI Stock Option (Right-to-Buy) 1,430 31 Mar 2022 Common 1,430 $111.84 Direct
holding CMI Stock Option (Right-to-Buy) 1,340 31 Mar 2022 Common 1,340 $128.05 Direct
holding CMI Stock Option (Right-to-Buy) 2,680 31 Mar 2022 Common 2,680 $136.82 Direct
holding CMI Stock Option (Right-to-Buy) 13,320 31 Mar 2022 Common 13,320 $142.12 Direct
holding CMI Stock Option (Right-to-Buy) 1,070 31 Mar 2022 Common 1,070 $149.34 Direct
holding CMI Stock Option (Right-to-Buy) 8,760 31 Mar 2022 Common 8,760 $149.72 Direct
holding CMI Stock Option (Right-to-Buy) 350 31 Mar 2022 Common 350 $154.35 Direct
holding CMI Stock Option (Right-to-Buy) 6,950 31 Mar 2022 Common 6,950 $160.10 Direct
holding CMI Stock Option (Right-to-Buy) 12,330 31 Mar 2022 Common 12,330 $163.43 Direct
holding CMI Stock Option (Right-to-Buy) 1,235 31 Mar 2022 Common 1,235 $166.18 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reflects a transfer of 4,497 shares previously held directly by the reporting person to the reporting person's trust and not previously reported on Form 4 or Form 5.
F2 Reflects a transfer of 176 shares previously held directly by the reporting person to the reporting person's trust and not previously reported on Form 4 or Form 5.
F3 Transactions pursuant to Rule 10b5-1 Trading Plan entered into on November 19, 2021.
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.