0001225208-21-002130.txt : 20210211 0001225208-21-002130.hdr.sgml : 20210211 20210211084630 ACCESSION NUMBER: 0001225208-21-002130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210210 FILED AS OF DATE: 20210211 DATE AS OF CHANGE: 20210211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINEBARGER NORMAN THOMAS CENTRAL INDEX KEY: 0001238892 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04949 FILM NUMBER: 21616957 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CUMMINS INC CENTRAL INDEX KEY: 0000026172 STANDARD INDUSTRIAL CLASSIFICATION: ENGINES & TURBINES [3510] IRS NUMBER: 350257090 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 JACKSON ST STREET 2: BOX 3005 MAIL CODE 60207 CITY: COLUMBUS STATE: IN ZIP: 47202-3005 BUSINESS PHONE: 8123773842 MAIL ADDRESS: STREET 1: BOX 3005 MAIL CODE 60207 STREET 2: 500 CITY: COLUMBUS STATE: IN ZIP: 47202-3005 FORMER COMPANY: FORMER CONFORMED NAME: CUMMINS ENGINE CO INC DATE OF NAME CHANGE: 19920703 4 1 doc4.xml X0306 4 2021-02-10 0000026172 CUMMINS INC CMI 0001238892 LINEBARGER NORMAN THOMAS 500 JACKSON STREET COLUMBUS IN 47201 1 1 Chairman & CEO Common 2021-02-10 4 M 0 13040.0000 119.7700 A 99927.0000 D Common 2021-02-10 4 S 0 8389.0000 245.1039 D 91538.0000 D Common 8435.5600 I By 401(k) Plan Common 16832.0000 I By Child #1 Common 16832.0000 I By Child #2 Common 240.0000 I By Spouse Common 34572.0000 I GRAT #4 Stock Option (Right-to-Buy) 119.7700 2021-02-10 4 M 0 13040.0000 0.0000 D 2013-05-02 2021-05-02 Common 13040.0000 0.0000 D Stock Option (Right-to-Buy) 109.0900 2019-04-04 2026-04-04 Common 131920.0000 131920.0000 D Stock Option (Right-to-Buy) 111.8400 2015-04-02 2023-04-02 Common 60100.0000 60100.0000 D Stock Option (Right-to-Buy) 120.2800 2014-04-02 2022-04-02 Common 37510.0000 37510.0000 D Stock Option (Right-to-Buy) 136.8200 2018-04-02 2025-04-02 Common 60780.0000 60780.0000 D Stock Option (Right-to-Buy) 142.1200 2023-04-06 2030-04-06 Common 95920.0000 95920.0000 D Stock Option (Right-to-Buy) 149.3400 2017-04-02 2024-04-02 Common 44890.0000 44890.0000 D Stock Option (Right-to-Buy) 149.7200 2020-04-03 2027-04-03 Common 85050.0000 85050.0000 D Stock Option (Right-to-Buy) 160.1000 2021-04-03 2028-04-03 Common 61700.0000 61700.0000 D Stock Option (Right-to-Buy) 163.4300 2022-04-04 2029-04-04 Common 98670.0000 98670.0000 D The stock options exercised and reported on this Form 4 were exercised in "sell-to-cover" transactions with respect to stock options that were set to expire in the near term. Any shares sold in such transactions were sold solely to cover the exercise price, fees and taxes associated with the stock option exercises. 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. /s/ Sharon Barner, Attorney-in-Fact 2021-02-11