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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
| Stock Option (Right-to-Buy) | $ 67.575 | 06/01/2013 | 06/01/2020 | Common | 650 | |||||||||
| Stock Option (Right-to-Buy) | $ 109.09 | 04/04/2019 | 04/04/2026 | Common | 4,360 | |||||||||
| Stock Option (Right-to-Buy) | $ 111.84 | 04/02/2016 | 04/02/2023 | Common | 480 | |||||||||
| Stock Option (Right-to-Buy) | $ 119.77 | 05/02/2014 | 05/02/2021 | Common | 330 | |||||||||
| Stock Option (Right-to-Buy) | $ 120.28 | 04/02/2015 | 04/02/2022 | Common | 370 | |||||||||
| Stock Option (Right-to-Buy) | $ 136.82 | 04/02/2018 | 04/02/2025 | Common | 2,010 | |||||||||
| Stock Option (Right-to-Buy) | $ 149.34 | 04/02/2017 | 04/02/2024 | Common | 350 | |||||||||
| Stock Option (Right-to-Buy) | $ 149.72 | 04/03/2020 | 04/03/2027 | Common | 3,125 | |||||||||
| Stock Option (Right-to-Buy) | $ 154.2 | 07/16/2017 | 07/16/2024 | Common | 1,070 | |||||||||
| Stock Option (Right-to-Buy) | $ 160.1 | 04/03/2021 | 04/03/2028 | Common | 2,390 | |||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Osowick Mark J 500 JACKSON STREET COLUMBUS, IN 47201 |
VP - Human Resources Op. | |||
| /s/ Mark Sifferlen, Attorney-In-Fact | 01/18/2019 | |
| **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) | Reflects a negative adjustment of 2 shares since the Reporting Person's last Form 4 to reflect an increase in the number of shares withheld to satisfy tax liabilities related to earned performance shares. The withholding transaction was exempt under Section 16b-3. |
| (2) | Reflects 79.822 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. |
| (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. |