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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right-to-Buy) | $ 19.42 | 03/02/2011 | 03/02/2019 | Common | 24,830 | 24,830 | D | ||||||||
Stock Option (Right-to-Buy) | $ 58.115 | 03/01/2012 | 03/01/2020 | Common | 16,360 | 16,360 | D | ||||||||
Stock Option (Right-to-Buy) | $ 109.09 | 04/04/2019 | 04/04/2026 | Common | 131,920 | 131,920 | D | ||||||||
Stock Option (Right-to-Buy) | $ 111.84 | 04/02/2015 | 04/02/2023 | Common | 60,100 | 60,100 | D | ||||||||
Stock Option (Right-to-Buy) | $ 119.77 | 05/02/2013 | 05/02/2021 | Common | 13,040 | 13,040 | D | ||||||||
Stock Option (Right-to-Buy) | $ 120.28 | 04/02/2014 | 04/02/2022 | Common | 37,510 | 37,510 | D | ||||||||
Stock Option (Right-to-Buy) | $ 136.82 | 04/02/2018 | 04/02/2025 | Common | 60,780 | 60,780 | D | ||||||||
Stock Option (Right-to-Buy) | $ 149.34 | 04/02/2017 | 04/02/2024 | Common | 44,890 | 44,890 | D | ||||||||
Stock Option (Right-to-Buy) | $ 149.72 | 04/03/2020 | 04/03/2027 | Common | 85,050 | 85,050 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LINEBARGER NORMAN THOMAS 500 JACKSON STREET COLUMBUS, IN 47201 |
X | Chairman & CEO |
/s/ Mark Sifferlen, Attorney-In-Fact | 10/03/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Upon termination of the Grantor Retained Annuity Trust #1 by the reporting person, a total of 6,164 shares (3,082 shares each) were distributed to trusts for the benefit of two of the reporting person's children of which the reporting person is the sole trustee and the remaining 16,266 shares in the Grantor Retained Annuity Trust #1 were distributed to The Norman Thomas Linebarger Revocable Trust. |
(2) | Return of shares from the Grantor Retained Annuity Trust #2. |
(3) | 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. |