Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CUMMINS INCCMI · Entity 2961 | VP-Corp. Controller | March 06, 2017 | March 08, 2017 |
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 06, 2017 · Filed March 08, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CommonSEC Table I · non-derivative | Direct | 2,652 |
Ending reported balance
After 2017-03-06 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-03-06 · Grant · Acquired 721 · Balance 2,903 Row 2 · 2017-03-06 · Tax withholding · Disposed 251 · Balance 2,652 F1: Shares withheld to satisfy tax liabilities relating to earned performance shares. |
| CommonSEC Table I · non-derivative | IndirectBy 401(k) Plan | 689.34 |
Reported balance
Holding disclosure · report date 2017-03-06 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 689.34 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 | 6,790 |
Reported balance
Holding disclosure · report date 2017-03-06 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 6,790 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $136.82 · Expires 2025-04-02 | Direct | 3,130 |
Reported balance
Holding disclosure · report date 2017-03-06 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 3,130 |
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $149.34 · Expires 2024-04-02 | Direct | 2,490 |
Reported balance
Holding disclosure · report date 2017-03-06 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 2,490 |
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 06, 2017 Filed Mar 8, 2017 17:08 UTC | CUMMINS INC CMI · Entity 2961 | Tax withholdingCommon | 251 | $152.85 | $38,365.35 |
DisclosureSEC source: 0001225208-17-005849 · doc4.xml · nonDerivative · entry 2 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,652 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 | 721 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-005849 · doc4.xml · nonDerivative · entry 1 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,903 Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 21:45 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 400 | $140.93 | $56,370.00 |
DisclosureSEC source: 0001140361-16-087955 · doc1.xml · nonDerivative · entry 1 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,182 Read SEC document |
| November 07, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 1,540 | $0.00 Strike: $111.84 | $0.00 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · derivative · entry 10 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 1,540 shares Expires 2023-04-02 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. Read SEC document |
| November 07, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 2,570 | $0.00 Strike: $120.28 | $0.00 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · derivative · entry 8 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 2,570 shares Expires 2022-04-02 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. Read SEC document |
| November 07, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 2,570 | $130.27 | $334,794.67 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · nonDerivative · entry 6 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,582 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $130.25 - $130.37. 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 |
| November 07, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 2,570 | $120.28 | $309,119.60 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · nonDerivative · entry 5 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,152 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 |
| November 07, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 1,540 | $127.56 | $196,439.78 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · nonDerivative · entry 4 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,582 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $127.25 - $127.95. 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 |
| November 07, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 1,540 | $111.84 | $172,233.60 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · nonDerivative · entry 3 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,122 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 |
| November 04, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionStock Option (Right-to-Buy) · Derivative | 1,800 | $0.00 Strike: $111.84 | $0.00 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · derivative · entry 9 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,540 Underlying: Common · 1,800 shares Expires 2023-04-02 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. Read SEC document |
| November 04, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | SaleCommon | 1,800 | $125.46 | $225,833.04 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · nonDerivative · entry 2 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,582 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $125.45 - $125.56. 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 |
| November 04, 2016 Filed Nov 8, 2016 15:27 UTC | CUMMINS INC CMI · Entity 2961 | Exercise / conversionCommon | 1,800 | $111.84 | $201,312.00 |
DisclosureSEC source: 0001140361-16-085332 · doc1.xml · nonDerivative · entry 1 HUNT MARSHA L · CIK 0001273201 · VP-Corp. Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,382 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.