SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Brockhaus John D

(Last) (First) (Middle)
500 JACKSON STREET

(Street)
COLUMBUS IN 47201

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/01/2021
3. Issuer Name and Ticker or Trading Symbol
CUMMINS INC [ CMI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP-Human Resources Operations
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common 3,479 D
Common 22.02(1) I By 401(k) Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right-to-Buy) 04/04/2019 04/04/2026 Common 780 109.09 D
Stock Option (Right-to-Buy) 05/03/2013 05/03/2023 Common 150 110.6 D
Stock Option (Right-to-Buy) 06/26/2018 06/26/2028 Common 450 133.94 D
Stock Option (Right-to-Buy) 04/02/2018 04/02/2025 Common 360 136.82 D
Stock Option (Right-to-Buy) 05/01/2015 05/01/2025 Common 250 141.13 D
Stock Option (Right-to-Buy) 04/06/2023 04/06/2030 Common 750 142.12 D
Stock Option (Right-to-Buy) 04/02/2017 04/02/2024 Common 280 149.34 D
Stock Option (Right-to-Buy) 04/03/2020 04/03/2027 Common 500 149.72 D
Stock Option (Right-to-Buy) 08/13/2019 08/13/2029 Common 400 151.07 D
Stock Option (Right-to-Buy) 04/03/2021 04/03/2028 Common 610 160.1 D
Stock Option (Right-to-Buy) 06/01/2017 06/01/2027 Common 300 160.63 D
Stock Option (Right-to-Buy) 04/04/2022 04/04/2029 Common 860 163.43 D
Stock Option (Right-to-Buy) 10/01/2023 10/01/2030 Common 860 207.04 D
Explanation of Responses:
1. 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.
Remarks:
brockhauspoa.txt
/s/ Sharon Barner, Attorney-in-Fact 03/03/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.