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CUMMINS INC

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2961
SEC CIK
0000026172
Parsed reports
654

Last 12 months

Inside the activity.

0 purchase rows · 56 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202509
Dec 202500
Jan 202600
Feb 2026019
Mar 202606
Apr 202600
May 2026021
Jun 202600
Jul 202600
Aug 202601
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 19, 2017 Filed Jun 20, 2017 17:30 UTC
Ward PatVP - Chief Financial Officer
Exercise / conversionCommon 8,150 $119.77 $976,125.50
Disclosure

SEC source: 0001225208-17-011502 · doc4.xml · nonDerivative · entry 1

Ward Pat · CIK 0001436125 · VP - Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,395

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transactions pursuant to Rule 10b5-1 Trading Plan entered into on February 22, 2017.

Read SEC document
May 30, 2017 Filed May 30, 2017 18:59 UTC
Talaulicar AnantVP & Ch. - Cummins India ABO
SaleCommon 1,650 $157.50 $259,878.14
Disclosure

SEC source: 0001225208-17-010507 · doc4.xml · nonDerivative · entry 1

Talaulicar Anant · CIK 0001485525 · VP & Ch. - Cummins India ABO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,029

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $157.40 - $157.56. 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.

Read SEC document
May 25, 2017 Filed May 30, 2017 18:59 UTC SaleCommon 1,086 $156.10 $169,527.42
Disclosure

SEC source: 0001225208-17-010508 · doc4.xml · nonDerivative · entry 1

NELSON GEORGIA R · CIK 0001141392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,511.55

Read SEC document
May 19, 2017 Filed Oct 3, 2017 14:49 UTC
Ward PatVP - Chief Financial Officer
GiftCommon 5,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-015677 · doc4.xml · nonDerivative · entry 6

Ward Pat · CIK 0001436125 · VP - Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 24,950

F4 · balance_after: Reflects a decrease for 5,000 shares that were distributed to the reporting person.

Read SEC document
May 19, 2017 Filed Oct 3, 2017 14:49 UTC
Ward PatVP - Chief Financial Officer
GiftCommon 2,221 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-015677 · doc4.xml · nonDerivative · entry 5

Ward Pat · CIK 0001436125 · VP - Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 29,950

F3 · balance_after: Reflects 2,221 shares previously held directly by the reporting person that were transferred to the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Read SEC document
May 19, 2017 Filed Oct 3, 2017 14:49 UTC
Ward PatVP - Chief Financial Officer
GiftCommon 2,221 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-015677 · doc4.xml · nonDerivative · entry 3

Ward Pat · CIK 0001436125 · VP - Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F3 · balance_after: Reflects 2,221 shares previously held directly by the reporting person that were transferred to the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Read SEC document
May 19, 2017 Filed Oct 3, 2017 14:49 UTC
Ward PatVP - Chief Financial Officer
GiftCommon 5,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-015677 · doc4.xml · nonDerivative · entry 2

Ward Pat · CIK 0001436125 · VP - Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,221

F2 · balance_after: Reflects an increase for 5,000 shares previously held by the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Read SEC document
May 10, 2017 Filed May 11, 2017 19:34 UTC SaleCommon 1,300 $159.16 $206,910.99
Disclosure

SEC source: 0001225208-17-009479 · doc4.xml · nonDerivative · entry 1

HERMAN ALEXIS M · CIK 0001198691 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,655.8328

Read SEC document
May 10, 2017 Filed Jul 10, 2017 14:22 UTC GiftCommon 8,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-012452 · doc4.xml · nonDerivative · entry 6

Freeland Richard Joseph · CIK 0001327988 · President & COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 7,706

F1 · kind: Gift of shares from the reporting person's revocable trust to the reporting person's directly-held shares.

Read SEC document
May 10, 2017 Filed Jul 10, 2017 14:22 UTC GiftCommon 8,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-012452 · doc4.xml · nonDerivative · entry 1

Freeland Richard Joseph · CIK 0001327988 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,131

F1 · kind: Gift of shares from the reporting person's revocable trust to the reporting person's directly-held shares.

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009395 · doc4.xml · nonDerivative · entry 1

NELSON GEORGIA R · CIK 0001141392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,597.55

F1 · balance_after: Includes 475.343315 dividend equivalent shares credited under the Cummins Inc. Deferred Compensation Plan for Non-Employee Directors since the most recently filed Form 4.

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009394 · doc4.xml · nonDerivative · entry 1

LYNCH THOMAS J · CIK 0001208323 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,381

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009396 · doc4.xml · nonDerivative · entry 1

MILLER WILLIAM I · CIK 0001160688 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,260.7526

F1 · balance_after: Includes 816.4804 dividend equivalent shares credited under the Cummins Inc. Deferred Compensation Plan for Non-Employee Directors since the most recently filed Form 4.

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009393 · doc4.xml · nonDerivative · entry 1

HERMAN ALEXIS M · CIK 0001198691 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,955.8328

F1 · balance_after: Includes 876.976024 dividend equivalent shares credited under the Cummins Inc. Deferred Compensation Plan for Non-Employee Directors since the most recently filed Form 4.

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009392 · doc4.xml · nonDerivative · entry 1

HERDMAN ROBERT · CIK 0001263879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,250.9665

F1 · balance_after: Includes 67.113544 shares credited under the Cummins Inc. Deferred Compensation Plan for Non-Employee Directors and 54.026 shares acquired under the Cummins Inc. Dividend Reinvestment Plan since the most recently filed Form 4.

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009391 · doc4.xml · nonDerivative · entry 1

DOBBS STEPHEN B · CIK 0001268254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,923

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009390 · doc4.xml · nonDerivative · entry 1

Di Leo Allen Bruno V · CIK 0001538976 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,098

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009389 · doc4.xml · nonDerivative · entry 1

ChangDiaz Franklin R · CIK 0001478314 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,447

Read SEC document
May 09, 2017 Filed May 9, 2017 20:17 UTC GrantCommon 995 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-009388 · doc4.xml · nonDerivative · entry 1

Bernhard Robert J · CIK 0001450339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,464

Read SEC document
May 06, 2017 Filed Oct 3, 2017 14:49 UTC
Ward PatVP - Chief Financial Officer
GiftCommon 3,024 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-015677 · doc4.xml · nonDerivative · entry 4

Ward Pat · CIK 0001436125 · VP - Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 27,729

F1 · balance_after: Reflects 3,024 shares previously held directly by the reporting person that were transferred to the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Read SEC document
May 06, 2017 Filed Oct 3, 2017 14:49 UTC
Ward PatVP - Chief Financial Officer
GiftCommon 3,024 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-015677 · doc4.xml · nonDerivative · entry 1

Ward Pat · CIK 0001436125 · VP - Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,221

F1 · balance_after: Reflects 3,024 shares previously held directly by the reporting person that were transferred to the Diane E. Ward Revocable Trust, of which the reporting person is the trustee and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Read SEC document
May 02, 2017 Filed May 4, 2017 18:17 UTC
CHAPMAN STEVEN MGroup Vice President
Exercise / conversionStock Option (Right-to-Buy) · Derivative 6,540 $0.00 Strike: $58.12 $0.00
Disclosure

SEC source: 0001225208-17-009121 · doc4.xml · derivative · entry 4

CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 6,540 shares

Expires 2020-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 02, 2017 Filed May 4, 2017 18:17 UTC
CHAPMAN STEVEN MGroup Vice President
SaleCommon 6,540 $163.00 $1,066,020.00
Disclosure

SEC source: 0001225208-17-009121 · doc4.xml · nonDerivative · entry 2

CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,502

F1 · kind: Transactions pursuant to Rule 10b5-1 Trading Plan entered into on February 24, 2017.

Read SEC document
May 02, 2017 Filed May 4, 2017 18:17 UTC
CHAPMAN STEVEN MGroup Vice President
Exercise / conversionCommon 6,540 $58.12 $380,072.10
Disclosure

SEC source: 0001225208-17-009121 · doc4.xml · nonDerivative · entry 1

CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,042

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transactions pursuant to Rule 10b5-1 Trading Plan entered into on February 24, 2017.

Read SEC document
May 02, 2017 Filed May 4, 2017 18:17 UTC
LINEBARGER NORMAN THOMASDirector · Chairman & CEO
SaleCommon 24,000 $163.00 $3,912,000.00
Disclosure

SEC source: 0001225208-17-009120 · doc4.xml · nonDerivative · entry 1

LINEBARGER NORMAN THOMAS · CIK 0001238892 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,607

F1 · kind: Sale pursuant to Rule 10b5-1 Trading Plan entered into on February 27, 2017.

Read SEC document
May 01, 2017 Filed May 2, 2017 18:10 UTC
Satterthwaite TonyPresident - Distribution
GrantStock Option (Right-to-Buy) · Derivative 15,630 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008797 · doc4.xml · derivative · entry 5

Satterthwaite Tony · CIK 0001438353 · President - Distribution

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,630

Underlying: Common · 15,630 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
Ward PatVP - Chief Financial Officer
GrantStock Option (Right-to-Buy) · Derivative 25,010 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008956 · doc4.xml · derivative · entry 4

Ward Pat · CIK 0001436125 · VP - Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,010

Underlying: Common · 25,010 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
Talaulicar AnantVP & Ch. - Cummins India ABO
GrantStock Option (Right-to-Buy) · Derivative 15,010 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008955 · doc4.xml · derivative · entry 3

Talaulicar Anant · CIK 0001485525 · VP & Ch. - Cummins India ABO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,010

Underlying: Common · 15,010 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
Smith Mark AndrewVP - Operations Finance
GrantStock Option (Right-to-Buy) · Derivative 4,380 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008954 · doc4.xml · derivative · entry 2

Smith Mark Andrew · CIK 0001676537 · VP - Operations Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,380

Underlying: Common · 4,380 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
RUMSEY JENNIFERChief Technical Officer
GrantStock Option (Right-to-Buy) · Derivative 8,760 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008953 · doc4.xml · derivative · entry 4

RUMSEY JENNIFER · CIK 0001651631 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,760

Underlying: Common · 8,760 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
ROSE MARYA MV.P. - CAO
GrantStock Option (Right-to-Buy) · Derivative 14,380 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008952 · doc4.xml · derivative · entry 3

ROSE MARYA M · CIK 0001238889 · V.P. - CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,380

Underlying: Common · 14,380 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
Padmanabhan SrikanthPresident - Engine Busines
GrantStock Option (Right-to-Buy) · Derivative 12,510 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008951 · doc4.xml · derivative · entry 4

Padmanabhan Srikanth · CIK 0001671209 · President - Engine Busines

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,510

Underlying: Common · 12,510 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
Osowick Mark JVP - Human Resources Op.
GrantStock Option (Right-to-Buy) · Derivative 3,125 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008950 · doc4.xml · derivative · entry 3

Osowick Mark J · CIK 0001613380 · VP - Human Resources Op.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125

Underlying: Common · 3,125 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
Nusterer NorbertVP & President - Power Systems
GrantStock Option (Right-to-Buy) · Derivative 8,760 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008949 · doc4.xml · derivative · entry 3

Nusterer Norbert · CIK 0001680107 · VP & President - Power Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,760

Underlying: Common · 8,760 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
LINEBARGER NORMAN THOMASDirector · Chairman & CEO
GrantStock Option (Right-to-Buy) · Derivative 85,050 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008948 · doc4.xml · derivative · entry 8

LINEBARGER NORMAN THOMAS · CIK 0001238892 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,050

Underlying: Common · 85,050 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
JACKSON DONALD GVP and Treasurer
GrantStock Option (Right-to-Buy) · Derivative 2,810 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008947 · doc4.xml · derivative · entry 3

JACKSON DONALD G · CIK 0001640059 · VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,810

Underlying: Common · 2,810 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC GrantStock Option (Right-to-Buy) · Derivative 31,270 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008946 · doc4.xml · derivative · entry 5

Freeland Richard Joseph · CIK 0001327988 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,270

Underlying: Common · 31,270 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:21 UTC
Ewald Thaddeus BVP - Corporate Strategy
GrantStock Option (Right-to-Buy) · Derivative 7,500 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008945 · doc4.xml · derivative · entry 3

Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common · 7,500 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:20 UTC
Embree Tracy AVP & Pres. - Components Group
GrantStock Option (Right-to-Buy) · Derivative 13,760 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008944 · doc4.xml · derivative · entry 3

Embree Tracy A · CIK 0001629977 · VP & Pres. - Components Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,760

Underlying: Common · 13,760 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:20 UTC
Cook Jill EChief Human Resources Officer
GrantStock Option (Right-to-Buy) · Derivative 10,630 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008943 · doc4.xml · derivative · entry 3

Cook Jill E · CIK 0001528025 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,630

Underlying: Common · 10,630 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:20 UTC
Clulow Christopher CVP - Corporate Controller
GrantStock Option (Right-to-Buy) · Derivative 2,190 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008942 · doc4.xml · derivative · entry 3

Clulow Christopher C · CIK 0001699982 · VP - Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,190

Underlying: Common · 2,190 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:20 UTC
CHAPMAN STEVEN MGroup Vice President
GrantStock Option (Right-to-Buy) · Derivative 13,760 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008941 · doc4.xml · derivative · entry 3

CHAPMAN STEVEN M · CIK 0001238885 · Group Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,760

Underlying: Common · 13,760 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:20 UTC
Barner Sharon RVP - Gen. Counsel
GrantStock Option (Right-to-Buy) · Derivative 12,510 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008940 · doc4.xml · derivative · entry 2

Barner Sharon R · CIK 0001541520 · VP - Gen. Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,510

Underlying: Common · 12,510 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:20 UTC
Anderson Peter WilliamVP - Global Supply Chain & Mfg
GrantStock Option (Right-to-Buy) · Derivative 3,750 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008939 · doc4.xml · derivative · entry 1

Anderson Peter William · CIK 0001698216 · VP - Global Supply Chain & Mfg

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common · 3,750 shares

Expires 2027-04-03

Read SEC document
May 01, 2017 Filed May 3, 2017 18:20 UTC
Aaholm Sherry AVP - Chief Information Officer
GrantStock Option (Right-to-Buy) · Derivative 5,010 $0.00 Strike: $149.72 $0.00
Disclosure

SEC source: 0001225208-17-008938 · doc4.xml · derivative · entry 2

Aaholm Sherry A · CIK 0001613364 · VP - Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,010

Underlying: Common · 5,010 shares

Expires 2027-04-03

Read SEC document
April 28, 2017 Filed May 2, 2017 18:10 UTC
Satterthwaite TonyPresident - Distribution
Exercise / conversionStock Option (Right-to-Buy) · Derivative 4,000 $0.00 Strike: $19.42 $0.00
Disclosure

SEC source: 0001225208-17-008797 · doc4.xml · derivative · entry 4

Satterthwaite Tony · CIK 0001438353 · President - Distribution

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,830

Underlying: Common · 4,000 shares

Expires 2019-03-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transactions pursuant to Rule 10b5-1 Trading Plan entered into on February 27, 2017.

Read SEC document
April 28, 2017 Filed May 2, 2017 18:10 UTC
Satterthwaite TonyPresident - Distribution
SaleCommon 4,000 $151.03 $604,138.80
Disclosure

SEC source: 0001225208-17-008797 · doc4.xml · nonDerivative · entry 2

Satterthwaite Tony · CIK 0001438353 · President - Distribution

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,902

F1 · kind: Transactions pursuant to Rule 10b5-1 Trading Plan entered into on February 27, 2017.

Read SEC document
April 28, 2017 Filed May 2, 2017 18:10 UTC
Satterthwaite TonyPresident - Distribution
Exercise / conversionCommon 4,000 $19.42 $77,680.00
Disclosure

SEC source: 0001225208-17-008797 · doc4.xml · nonDerivative · entry 1

Satterthwaite Tony · CIK 0001438353 · President - Distribution

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,902

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Transactions pursuant to Rule 10b5-1 Trading Plan entered into on February 27, 2017.

Read SEC document
March 06, 2017 Filed Mar 8, 2017 17:09 UTC
JACKSON DONALD GVP and Treasurer
Tax withholdingCommon 38 $152.85 $5,808.30
Disclosure

SEC source: 0001225208-17-005867 · doc4.xml · nonDerivative · entry 2

JACKSON DONALD G · CIK 0001640059 · VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72.941

F2 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares.

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March 06, 2017 Filed Mar 8, 2017 17:09 UTC
JACKSON DONALD GVP and Treasurer
GrantCommon 105 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-005867 · doc4.xml · nonDerivative · entry 1

JACKSON DONALD G · CIK 0001640059 · VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110.941

F1 · balance_after: Reflects 4.329 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.