Sharon R. Barner - 10 Nov 2021 Form 4 Insider Report for CUMMINS INC (CMI)

Role
VP - Chief Administrative Off.
Signature
/s/ Sharon Barner, Attorney-in-Fact
Issuer symbol
CMI
Transactions as of
10 Nov 2021
Transactions value $
-$2,678,572
Form type
4
Filing time
12 Nov 2021, 13:32:53 UTC
Previous filing
01 Jun 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 Options Exercise $1.1M +8.04K +56.68% $136.82 22.2K 10 Nov 2021 Direct
transaction CMI Common Options Exercise $747K +6.68K +30.05% $111.84 28.9K 10 Nov 2021 Direct
transaction CMI Common Options Exercise $851K +5.7K +19.72% $149.34 34.6K 10 Nov 2021 Direct
transaction CMI Common Options Exercise $530K +4.41K +12.74% $120.28 39K 10 Nov 2021 Direct
transaction CMI Common Sale -$167K -700 -1.79% $238.33 38.3K 10 Nov 2021 Direct F1
transaction CMI Common Sale -$2.47M -10.4K -27.12% $237.70 27.9K 10 Nov 2021 Direct F2
transaction CMI Common Sale -$3.26M -13.7K -49.06% $238.05 14.2K 10 Nov 2021 Direct F3
transaction CMI Common Sale -$9.52K -40 -0.28% $237.95 14.2K 11 Nov 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
transaction CMI Stock Option (Right-to-Buy) Options Exercise $0 -4.41K -100% $0.00* 0 10 Nov 2021 Common 4.41K $120.28 Direct
transaction CMI Stock Option (Right-to-Buy) Options Exercise $0 -6.68K -100% $0.00* 0 10 Nov 2021 Common 6.68K $111.84 Direct
transaction CMI Stock Option (Right-to-Buy) Options Exercise $0 -5.7K -100% $0.00* 0 10 Nov 2021 Common 5.7K $149.34 Direct
transaction CMI Stock Option (Right-to-Buy) Options Exercise $0 -8.04K -100% $0.00* 0 10 Nov 2021 Common 8.04K $136.82 Direct
holding CMI Stock Option (Right-to-Buy) 19.4K 10 Nov 2021 Common 19.4K $109.09 Direct
holding CMI Stock Option (Right-to-Buy) 16K 10 Nov 2021 Common 16K $142.12 Direct
holding CMI Stock Option (Right-to-Buy) 12.5K 10 Nov 2021 Common 12.5K $149.72 Direct
holding CMI Stock Option (Right-to-Buy) 9.56K 10 Nov 2021 Common 9.56K $160.10 Direct
holding CMI Stock Option (Right-to-Buy) 15.4K 10 Nov 2021 Common 15.4K $163.43 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $238.2850 - $239.4100. 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.
F2 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $237.2066 - $238.2050. 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 $237.9500 - $238.3100. 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.