0001140361-16-086059.txt : 20161114 0001140361-16-086059.hdr.sgml : 20161111 20161114104951 ACCESSION NUMBER: 0001140361-16-086059 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161109 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Freeland Richard Joseph CENTRAL INDEX KEY: 0001327988 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04949 FILM NUMBER: 161991956 MAIL ADDRESS: STREET 1: 927 JUNCO DRIVE CITY: COLUMBUS STATE: IN ZIP: 47201 4 1 doc1.xml FORM 4 X0306 4 2016-11-09 0 0000026172 CUMMINS INC CMI 0001327988 Freeland Richard Joseph 500 JACKSON STREET COLUMBUS IN 47201 0 1 0 0 President & COO Common 2016-11-09 4 S 0 2500 135 D 3308 D Common 17206 I By Trust Common 8000 I By GRAT #1 Common 2611.45 I By 401(k) Plan Stock Option (Right-to-Buy) 19.42 2011-03-02 2019-03-02 Common 3650 3650 D Stock Option (Right-to-Buy) 58.115 2012-03-01 2020-03-01 Common 10900 10900 D Stock Option (Right-to-Buy) 120.28 2014-04-02 2022-04-02 Common 11030 11030 D Stock Option (Right-to-Buy) 111.84 2015-04-02 2023-04-02 Common 16450 16450 D Stock Option (Right-to-Buy) 149.34 2017-04-02 2024-04-02 Common 12290 12290 D Stock Option (Right-to-Buy) 136.82 2018-04-02 2025-04-02 Common 22340 22340 D Stock Option (Right-to-Buy) 109.09 2019-04-04 2026-04-04 Common 48500 48500 D Stock Option (Right-to-Buy) 119.77 2013-05-02 2021-05-02 Common 8150 8150 D Stock Option (Right-to-Buy) 154.2 2017-07-16 2024-07-16 Common 1960 1960 D Sale pursuant to Rule 10b5-1 Trading Plan entered into on November 23, 2015. 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/ Mark Sifferlen, Attorney-In-Fact 2016-11-10