Form 4 for CMI Cummins
Accepted 2022-08-30 00:00:00 ET · period of report 2022-08-25 · accession 0001225208-22-009851 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-08-30 | 2022-08-26 | CMI | Satterthwaite Tony | Vice COB | S - Sale+OE | $230.18 | -4,866 | 63.6K | -7% | -$1.12M |
| DI | 2022-08-30 | 2022-08-25 | CMI | Satterthwaite Tony | Vice COB | I - Discretionary | $228.97 | -854.36 | 2,253 | -27% | -$195.6K |
| D | 2022-08-30 | 2022-08-26 | CMI | Satterthwaite Tony | Vice COB | M - OptEx | $111.84 | +516 | 64.1K | +0.8% | +$57.7K |
| D | 2022-08-30 | 2022-08-17 | CMI | Satterthwaite Tony | Vice COB | G - Gift | $0.00 | -1,798 | 63.6K | -3% | $0 |
| D | 2022-08-30 | 2022-08-26 | CMI | Satterthwaite Tony | Vice COB | M - OptEx | $0.00 | -516 | 11.4K | -4% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common | 2022-08-26 | S | D | 4,350 | $230.19 | 59,276 | D | — | — | |
| 2 | Common | Common | 2022-08-25 | I | D | 854.36 | $228.97 | 2,252.99 | I | — | — | (F1) The reporting person made an intra-plan transfer of $195,621.93 out of the Cummins Stock Fund under the Company's 401(k) plan, with the number of shares equal to such amount divided by $228.97, which was the closing price on the date of the transaction. Because the Stock Fund is a unitized account, the actual number of shares and share price is not known. (F2) Includes 95.28 shares acquired under the 401(k) plan since the reporting person's last Form 4. |
| 3 | Common | Common | 2022-08-26 | S | D | 516 | $230.05 | 63,626 | D | — | — | |
| 4 | Common | Common | 2022-08-26 | M | A | 516 | $111.84 | 64,142 | D | — | — | |
| 5 | Common | Common | 2022-08-17 | G | D | 1,798 | $0.00 | 63,626 | D By 401(k) Plan | — | — | (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. |
| 6 | Derivative | Stock Option (Right-to-Buy) | 2022-08-26 | M | D | 516 | $0.00 | 11,404 | D | $111.84 · 2015-04-02 to 2023-04-02 | 516 Common |