Form 4 for CMI Cummins
Accepted 2022-11-14 00:00:00 ET · period of report 2022-11-10 · accession 0001225208-22-011646 · 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 | 2022-11-14 | 2022-11-10 | CMI | Embree Tracy A | Pres - Distribution | S - Sale+OE | $241.85 | -46.9K | 41.2K | -53% | -$11.33M |
| DM | 2022-11-14 | 2022-11-10 | CMI | Embree Tracy A | Pres - Distribution | M - OptEx | $154.60 | +46.9K | 65.3K | +254% | +$7.24M |
| DM | 2022-11-14 | 2022-11-10 | CMI | Embree Tracy A | Pres - Distribution | M - OptEx | $0.00 | -46.9K | 0 | -100% | $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 | 2022-11-10 | S | D | 22,717 | $241.97 | 18,436 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $241.5231 - $242.52. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
| 2 | Common | Common | 2022-11-10 | M | A | 13,760 | $149.72 | 32,196 | D | — | — | |
| 3 | Common | Common | 2022-11-10 | M | A | 13,570 | $163.43 | 45,766 | D | — | — | |
| 4 | Common | Common | 2022-11-10 | M | A | 9,560 | $160.10 | 55,326 | D | — | — | |
| 5 | Common | Common | 2022-11-10 | M | A | 6,700 | $136.82 | 62,026 | D | — | — | |
| 6 | Common | Common | 2022-11-10 | M | A | 1,850 | $166.18 | 63,876 | D | — | — | |
| 7 | Common | Common | 2022-11-10 | M | A | 1,420 | $149.34 | 65,296 | D | — | — | |
| 8 | Common | Common | 2022-11-10 | S | D | 600 | $238.91 | 64,696 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $238.3900 - $239.30. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
| 9 | Common | Common | 2022-11-10 | S | D | 1,200 | $239.94 | 63,496 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $239.41 - $240.3987 The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
| 10 | Common | Common | 2022-11-10 | S | D | 9,071 | $242.87 | 54,425 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $242.53 - $243.22. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
| 11 | Common | Common | 2022-11-10 | S | D | 13,272 | $241.24 | 41,153 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $240.52 - $241.51. The reporting person undertakes to provide to Cummins Inc., any security holder of Cummins Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range indicated. |
| 12 | Derivative | Stock Option (Right-to-Buy) | 2022-11-10 | M | D | 6,700 | $0.00 | 0 | D | $136.82 · 2018-04-02 to 2025-04-02 | 6,700 Common | |
| 13 | Derivative | Stock Option (Right-to-Buy) | 2022-11-10 | M | D | 13,570 | $0.00 | 0 | D | $163.43 · 2022-04-04 to 2029-04-04 | 13,570 Common | |
| 14 | Derivative | Stock Option (Right-to-Buy) | 2022-11-10 | M | D | 9,560 | $0.00 | 0 | D | $160.10 · 2021-04-03 to 2028-04-03 | 9,560 Common | |
| 15 | Derivative | Stock Option (Right-to-Buy) | 2022-11-10 | M | D | 13,760 | $0.00 | 0 | D | $149.72 · 2020-04-03 to 2027-04-03 | 13,760 Common | |
| 16 | Derivative | Stock Option (Right-to-Buy) | 2022-11-10 | M | D | 1,420 | $0.00 | 0 | D | $149.34 · 2017-04-02 to 2024-04-02 | 1,420 Common | |
| 17 | Derivative | Stock Option (Right-to-Buy) | 2022-11-10 | M | D | 1,850 | $0.00 | 0 | D | $166.18 · 2022-10-16 to 2029-10-16 | 1,850 Common |