Barner Sharon R's Form 4 filing
Cummins Inc (CMI) · filed Nov 12, 2021
- Accession no.
- 0001225208-21-013827
- Filed
- Nov 12, 2021
- Trade date
- Nov 10-11, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 4 derivative transactions. Open-market sales total $5.91M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Barner Sharon RCIK 0001541520 | Officer (VP - Chief Administrative Off.) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Common | MOption exerciseAcquired | +8,040 | $136.82 | +$1,100,032.8 | 22,226 | Direct | |
| Nov 10, 2021 | Common | MOption exerciseAcquired | +6,680 | $111.84 | +$747,091.2 | 28,906 | Direct | |
| Nov 10, 2021 | Common | MOption exerciseAcquired | +5,700 | $149.34 | +$851,238 | 34,606 | Direct | |
| Nov 10, 2021 | Common | MOption exerciseAcquired | +4,410 | $120.28 | +$530,434.8 | 39,016 | Direct | |
| Nov 10, 2021 | Common | SSaleDisposed | −700 | $238.33F1 | −$166,831 | 38,316 | Direct | |
| Nov 10, 2021 | Common | SSaleDisposed | −10,390 | $237.70F2 | −$2,469,703 | 27,926 | Direct | |
| Nov 10, 2021 | Common | SSaleDisposed | −13,700 | $238.05F3 | −$3,261,285 | 14,226 | Direct | |
| Nov 11, 2021 | Common | SSaleDisposed | −40 | $237.95 | −$9,518 | 14,186 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Common | MOption exerciseDisposed | −4,410 | $0.00 | $0 | 0 | Direct | |
| Nov 10, 2021 | Common | MOption exerciseDisposed | −6,680 | $0.00 | $0 | 0 | Direct | |
| Nov 10, 2021 | Common | MOption exerciseDisposed | −5,700 | $0.00 | $0 | 0 | Direct | |
| Nov 10, 2021 | Common | MOption exerciseDisposed | −8,040 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $238.2850 - $239.4100. 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.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $237.2066 - $238.2050. 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.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $237.9500 - $238.3100. 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.
Referenced by the price of 1 transaction in Table I.