Osowick Mark J 4

4 · CUMMINS INC · Filed Feb 14, 2020

Form 4

Period: 2020-02-14

VP - Human Resources Op.

Transactions

Exercise/Conversion
Common
2020-02-14$67.58/sh+650$43,924→ 7,392.068 total
Sale
Common
2020-02-14$165.88/sh−438$72,654→ 6,954.068 total
Exercise/Conversion
Stock Option (Right-to-Buy)
2020-02-14−650→ 0 total
Exercise: $67.58From: 2013-06-01Exp: 2020-06-01→ Common (650 underlying)

Holdings

Common
(indirect: By 401(k))
1,434.78
Stock Option (Right-to-Buy)
Exercise: $109.09From: 2019-04-04Exp: 2026-04-04→ Common (4,360 underlying)
4,360
Stock Option (Right-to-Buy)
Exercise: $111.84From: 2016-04-02Exp: 2023-04-02→ Common (480 underlying)
480
Stock Option (Right-to-Buy)
Exercise: $119.77From: 2014-05-02Exp: 2021-05-02→ Common (330 underlying)
330
Stock Option (Right-to-Buy)
Exercise: $120.28From: 2015-04-02Exp: 2022-04-02→ Common (370 underlying)
370
Stock Option (Right-to-Buy)
Exercise: $136.82From: 2018-04-02Exp: 2025-04-02→ Common (2,010 underlying)
2,010
Stock Option (Right-to-Buy)
Exercise: $149.34From: 2017-04-02Exp: 2024-04-02→ Common (350 underlying)
350
Stock Option (Right-to-Buy)
Exercise: $149.72From: 2020-04-03Exp: 2027-04-03→ Common (3,125 underlying)
3,125
Stock Option (Right-to-Buy)
Exercise: $154.20From: 2017-07-16Exp: 2024-07-16→ Common (1,070 underlying)
1,070
Stock Option (Right-to-Buy)
Exercise: $160.10From: 2021-04-03Exp: 2028-04-03→ Common (2,390 underlying)
2,390
Stock Option (Right-to-Buy)
Exercise: $163.43From: 2022-04-04Exp: 2029-04-04→ Common (3,390 underlying)
3,390

Footnotes (3)

[F1]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.
[F2]Reflects 76.459 shares that had been acquired in exempt transactions under an employee stock purchase plan and dividend reinvestment program but not previously reflected on a Form 4.
[F3]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.

Documents

1 file