Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CUMMINS INCCMI · Entity 2961 | VP - Human Resources Op. | February 17, 2021 | February 17, 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 February 17, 2021 · Filed February 17, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 8,433.203 |
Reported balance
After 2021-02-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-02-17 · Exercise / conversion · Acquired 330 · Balance 8,433.203 F1: 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. |
| CommonSEC Table I · non-derivative | Direct | 8,210.203 |
Reported balance
After 2021-02-17 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2021-02-17 · Sale · Disposed 223 · Balance 8,210.203 F1: 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. F2: Reflects 62.969 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. |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $119.77 · Expires 2021-05-02 | Direct | 0 |
Reported balance
After 2021-02-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-02-17 · Exercise / conversion · Disposed 330 · Balance 0 F1: 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. |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $109.09 · Expires 2026-04-04 | Direct | 4,360 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 4,360 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $111.84 · Expires 2023-04-02 | Direct | 480 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 480 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $120.28 · Expires 2022-04-02 | Direct | 370 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 370 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $136.82 · Expires 2025-04-02 | Direct | 2,010 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 2,010 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $142.12 · Expires 2030-04-06 | Direct | 2,930 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 2,930 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.34 · Expires 2024-04-02 | Direct | 350 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 350 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.72 · Expires 2027-04-03 | Direct | 3,125 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 3,125 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $154.20 · Expires 2024-07-16 | Direct | 1,070 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 1,070 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $160.10 · Expires 2028-04-03 | Direct | 2,390 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance 2,390 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $163.43 · Expires 2029-04-04 | Direct | 3,390 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · Balance 3,390 |
| CommonSEC Table I · non-derivative | IndirectBy 401(k) Plan | 1,475.33 |
Reported balance
Holding disclosure · report date 2021-02-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,475.33 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Reflects 62.969 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.
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.
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 |
|---|---|---|---|---|---|---|
| February 17, 2021 Filed Feb 17, 2021 21:15 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 330 | $0.00 Strike: $119.77 | $0.00 |
DisclosureSEC source: 0001225208-21-002703 · doc4.xml · derivative · entry 4 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 330 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 17, 2021 Filed Feb 17, 2021 21:15 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 223 | $242.00 | $53,966.00 |
DisclosureSEC source: 0001225208-21-002703 · doc4.xml · nonDerivative · entry 2 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,210.203 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. F2 · balance_after: Reflects 62.969 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. Read SEC document |
| February 17, 2021 Filed Feb 17, 2021 21:15 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 330 | $119.77 | $39,524.10 |
DisclosureSEC source: 0001225208-21-002703 · doc4.xml · nonDerivative · entry 1 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,433.203 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 15:22 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 2,930 | $0.00 Strike: $142.12 | $0.00 |
DisclosureSEC source: 0001225208-20-006258 · doc4.xml · derivative · entry 3 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,930 Underlying: Common · 2,930 shares Expires 2030-04-06 Read SEC document |
| March 01, 2020 Filed Mar 3, 2020 19:11 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 439 | $151.29 | $66,416.31 |
DisclosureSEC source: 0001225208-20-004086 · doc4.xml · nonDerivative · entry 2 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,015.068 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 01, 2020 Filed Mar 3, 2020 19:11 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-004086 · doc4.xml · nonDerivative · entry 1 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,454.068 Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 21:38 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 650 | $0.00 Strike: $67.58 | $0.00 |
DisclosureSEC source: 0001225208-20-002383 · doc4.xml · derivative · entry 4 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 650 shares Expires 2020-06-01 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. 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 14, 2020 Filed Feb 14, 2020 21:38 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 438 | $165.88 | $72,654.30 |
DisclosureSEC source: 0001225208-20-002383 · doc4.xml · nonDerivative · entry 2 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,954.068 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. F2 · balance_after: Reflects 76.459 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. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 21:38 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 650 | $67.58 | $43,923.75 |
DisclosureSEC source: 0001225208-20-002383 · doc4.xml · nonDerivative · entry 1 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,392.068 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 04, 2019 Filed Apr 8, 2019 14:02 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 3,390 | $0.00 Strike: $163.43 | $0.00 |
DisclosureSEC source: 0001225208-19-006544 · doc4.xml · derivative · entry 3 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,390 Underlying: Common · 3,390 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 | 293 | $154.41 | $45,242.13 |
DisclosureSEC source: 0001225208-19-004537 · doc4.xml · nonDerivative · entry 2 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,637.776 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 | 924 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-004537 · doc4.xml · nonDerivative · entry 1 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,930.776 Read SEC document |
| April 03, 2018 Filed Apr 5, 2018 18:26 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 2,390 | $0.00 Strike: $160.10 | $0.00 |
DisclosureSEC source: 0001225208-18-007458 · doc4.xml · derivative · entry 3 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,390 Underlying: Common · 2,390 shares Expires 2028-04-03 Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:19 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 144 | $160.89 | $23,168.16 |
DisclosureSEC source: 0001225208-18-005241 · doc4.xml · nonDerivative · entry 2 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,928.954 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. F2 · balance_after: Reflects 74.570 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. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:19 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 420 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-005241 · doc4.xml · nonDerivative · entry 1 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,072.954 Read SEC document |
| March 01, 2018 Filed Jan 18, 2019 16:11 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 2 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-001024 · doc5.xml · nonDerivative · entry 1 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,006.776 F1 · shares: Reflects a negative adjustment of 2 shares since the Reporting Person's last Form 4 to reflect an increase in the number of shares withheld to satisfy tax liabilities related to earned performance shares. The withholding transaction was exempt under Section 16b-3. F2 · balance_after: Reflects 79.822 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. Read SEC document |
| May 01, 2017 Filed May 3, 2017 18:21 UTC | CUMMINS INC CMI · Entity 2961 | GrantStock Option (Right-to-Buy) · Derivative | 3,125 | $0.00 Strike: $149.72 | $0.00 |
DisclosureSEC 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 |
| March 06, 2017 Filed Mar 8, 2017 17:08 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 39 | $152.85 | $5,961.15 |
DisclosureSEC source: 0001225208-17-005852 · doc4.xml · nonDerivative · entry 2 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,271.353 F1 · kind: Shares withheld to satisfy tax liabilities relating to earned performance shares. Read SEC document |
| March 06, 2017 Filed Mar 8, 2017 17:08 UTC | CUMMINS INC CMI · Entity 2961 | GrantCommon | 105 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-005852 · doc4.xml · nonDerivative · entry 1 Osowick Mark J · CIK 0001613380 · VP - Human Resources Op. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,310.353 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.