Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CUMMINS INCCMI · Entity 2961 | VP - Corporate Strategy | March 01, 2021 | March 03, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CUMMINS INC
Report date March 01, 2021 · Filed March 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 10,461 |
Ending reported balance
After 2021-03-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-03-01 · Grant · Acquired 2,064 · Balance 11,070 Row 2 · 2021-03-01 · Tax withholding · Disposed 609 · Balance 10,461 F1: Shares withheld to satisfy tax liabilities relating to earned performance shares. |
| CommonSEC Table I · non-derivative | IndirectBy 401(k) Plan | 2,196.03 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2,196.03 F2: 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. |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $109.09 · Expires 2026-04-04 | Direct | 10,670 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 10,670 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $111.84 · Expires 2023-04-02 | Direct | 1,910 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 1,910 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $120.28 · Expires 2022-04-02 | Direct | 1,290 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 1,290 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $136.82 · Expires 2025-04-02 | Direct | 4,470 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 4,470 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $142.12 · Expires 2030-04-06 | Direct | 8,530 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 8,530 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $146.18 · Expires 2024-11-01 | Direct | 890 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 890 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.34 · Expires 2024-04-02 | Direct | 1,600 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 1,600 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.72 · Expires 2027-04-03 | Direct | 7,500 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 7,500 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $160.10 · Expires 2028-04-03 | Direct | 6,520 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 6,520 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $163.43 · Expires 2029-04-04 | Direct | 9,250 |
Reported balance
Holding disclosure · report date 2021-03-01 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance 9,250 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld to satisfy tax liabilities relating to earned performance shares.
F2: 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 01, 2021 Filed Mar 3, 2021 18:36 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 609 | $262.98 | $160,154.82 |
DisclosureSEC source: 0001225208-21-004431 · doc4.xml · nonDerivative · entry 2 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,461 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 18:36 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 2,064 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-004431 · doc4.xml · nonDerivative · entry 1 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,070 Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 13:46 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 980 | $0.00 Strike: $119.77 | $0.00 |
DisclosureSEC source: 0001225208-21-002126 · doc4.xml · derivative · entry 4 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 980 shares Expires 2021-05-02 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: The stock options exercised and reported on this Form 4 were exercised in "sell-to-cover" transactions with respect to stock options that were set to expire in the near term. Any shares sold in such transactions were sold solely to cover the exercise price, fees and taxes associated with the stock option exercises. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 13:46 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 650 | $244.27 | $158,772.25 |
DisclosureSEC source: 0001225208-21-002126 · doc4.xml · nonDerivative · entry 2 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,006 F1 · kind: The stock options exercised and reported on this Form 4 were exercised in "sell-to-cover" transactions with respect to stock options that were set to expire in the near term. Any shares sold in such transactions were sold solely to cover the exercise price, fees and taxes associated with the stock option exercises. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 13:46 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 980 | $119.77 | $117,374.60 |
DisclosureSEC source: 0001225208-21-002126 · doc4.xml · nonDerivative · entry 1 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,656 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: The stock options exercised and reported on this Form 4 were exercised in "sell-to-cover" transactions with respect to stock options that were set to expire in the near term. Any shares sold in such transactions were sold solely to cover the exercise price, fees and taxes associated with the stock option exercises. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 15:21 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 8,530 | $0.00 Strike: $142.12 | $0.00 |
DisclosureSEC source: 0001225208-20-006252 · doc4.xml · derivative · entry 3 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,530 Underlying: Common · 8,530 shares Expires 2030-04-06 Read SEC document |
| March 01, 2020 Filed Mar 3, 2020 19:10 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 1,077 | $151.29 | $162,939.33 |
DisclosureSEC source: 0001225208-20-004079 · doc4.xml · nonDerivative · entry 2 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,676 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2020 Filed Mar 3, 2020 19:10 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 3,580 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-004079 · doc4.xml · nonDerivative · entry 1 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,753 Read SEC document |
| April 04, 2019 Filed Apr 8, 2019 14:01 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 9,250 | $0.00 Strike: $163.43 | $0.00 |
DisclosureSEC source: 0001225208-19-006539 · doc4.xml · derivative · entry 3 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,250 Underlying: Common · 9,250 shares Expires 2029-04-04 Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 18:07 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 684 | $154.41 | $105,616.44 |
DisclosureSEC source: 0001225208-19-004542 · doc4.xml · nonDerivative · entry 2 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,173 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 18:07 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 2,256 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-004542 · doc4.xml · nonDerivative · entry 1 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,857 Read SEC document |
| April 03, 2018 Filed Apr 5, 2018 18:26 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 6,520 | $0.00 Strike: $160.10 | $0.00 |
DisclosureSEC source: 0001225208-18-007453 · doc4.xml · derivative · entry 3 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,520 Underlying: Common · 6,520 shares Expires 2028-04-03 Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:17 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 294 | $160.89 | $47,301.66 |
DisclosureSEC source: 0001225208-18-005231 · doc4.xml · nonDerivative · entry 2 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,601 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:17 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 938 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-005231 · doc4.xml · nonDerivative · entry 1 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,895 Read SEC document |
| May 01, 2017 Filed May 3, 2017 18:21 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 7,500 | $0.00 Strike: $149.72 | $0.00 |
DisclosureSEC 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 |
| March 06, 2017 Filed Mar 8, 2017 17:09 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 174 | $152.85 | $26,595.90 |
DisclosureSEC source: 0001225208-17-005866 · doc4.xml · nonDerivative · entry 2 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,369.932 F2 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:09 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 462 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-005866 · doc4.xml · nonDerivative · entry 1 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,543.932 F1 · balance_after: Includes 27.783 shares acquired under the Cummins Inc. Dividend Reinvestment Plan since the most recently filed Form 4. Read SEC document |
| March 06, 2017 Filed Jan 23, 2018 15:12 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 177 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-001358 · doc5.xml · nonDerivative · entry 2 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,957 F2 · shares: Represents issuance of shares to reporting person not previously reported on Form 4. F3 · balance_after: Includes 11.707 shares acquired under the Cummins Inc. Dividend Reinvestment Plan since the most recently filed Form 4. Read SEC document |
| November 01, 2014 Filed Jan 18, 2019 16:10 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 890 | $0.00 Strike: $146.18 | $0.00 |
DisclosureSEC source: 0001225208-19-001022 · doc5.xml · derivative · entry 3 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 890 Underlying: Common · 890 shares Expires 2024-11-01 F2 · shares: Represents award of options benefically held by the reporting person not previously reported on Form 4. Read SEC document |
| July 08, 2014 Filed Jan 23, 2018 15:12 UTC | CUMMINS INC CMI · Entity 2961 | OtherCommon | 386 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-001358 · doc5.xml · nonDerivative · entry 1 Ewald Thaddeus B · CIK 0001613720 · VP - Corporate Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,768.293 F1 · shares: Represents shares beneficially held by the reporting person and inadvertently omitted from reporting person's Form 3 filing. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.