Form 4 for CMI Cummins
Accepted 2022-11-15 00:00:00 ET · period of report 2022-11-11 · accession 0001225208-22-011669 · 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 | 2022-11-15 | 2022-11-11+ | CMI | Satterthwaite Tony | SVP | S - Sale+OE | $248.67 | -15.3K | 63.1K | -20% | -$3.81M |
| DM | 2022-11-15 | 2022-11-11+ | CMI | Satterthwaite Tony | SVP | M - OptEx | $133.66 | +15.3K | 66.9K | +30% | +$2.05M |
| DM | 2022-11-15 | 2022-11-11+ | CMI | Satterthwaite Tony | SVP | M - OptEx | $0.00 | -15.3K | 7,610 | -67% | $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 | 2022-11-11 | S | D | 1,300 | $250.05 | 64,680 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $250 - $250.15. 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 | 2022-11-14 | S | D | 7,610 | $250.06 | 59,276 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $250 - $250.66. 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. |
| 3 | Common | Common | 2022-11-11 | M | A | 6,404 | $111.84 | 65,680 | D | — | — | |
| 4 | Common | Common | 2022-11-11 | M | A | 1,300 | $149.34 | 66,980 | D | — | — | |
| 5 | Common | Common | 2022-11-11 | S | D | 1,000 | $245.10 | 65,980 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $245 - $245.18. 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. |
| 6 | Common | Common | 2022-11-14 | M | A | 7,610 | $149.34 | 66,886 | D | — | — | |
| 7 | Common | Common | 2022-11-11 | S | D | 3,787 | $247.31 | 59,276 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $247.08 - $247.63. 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. |
| 8 | Common | Common | 2022-11-11 | S | D | 1,617 | $246.45 | 63,063 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $246.02 - $246.98. 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 | Derivative | Stock Option (Right-to-Buy) | 2022-11-11 | M | D | 6,404 | $0.00 | 0 | D | $111.84 · 2015-04-02 to 2023-04-02 | 6,404 Common | |
| 10 | Derivative | Stock Option (Right-to-Buy) | 2022-11-14 | M | D | 7,610 | $0.00 | 0 | D | $149.34 · 2017-04-02 to 2024-04-02 | 7,610 Common | |
| 11 | Derivative | Stock Option (Right-to-Buy) | 2022-11-11 | M | D | 1,300 | $0.00 | 7,610 | D | $149.34 · 2017-04-02 to 2024-04-02 | 1,300 Common |