Form 3 CUMMINS INC For: Jun 01 Filed by: Smith Mark Andrew
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June 8, 2016 4:27 PM EDT
| 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
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person
*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
06/01/2016
|
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 - Operations Finance |
|
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
|
3,203
|
D
|
|
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)
|
06/01/2012 |
06/01/2020 |
Common
|
820
|
67.575
|
D
|
|
|
Stock Option (Right-to-Buy)
|
04/04/2019 |
04/04/2026 |
Common
|
4,360
|
109.09
|
D
|
|
|
Stock Option (Right-to-Buy)
|
04/02/2015 |
04/02/2023 |
Common
|
770
|
111.84
|
D
|
|
|
Stock Option (Right-to-Buy)
|
05/02/2013 |
05/02/2021 |
Common
|
528
|
119.77
|
D
|
|
|
Stock Option (Right-to-Buy)
|
04/02/2014 |
04/02/2022 |
Common
|
590
|
120.28
|
D
|
|
|
Stock Option (Right-to-Buy)
|
04/02/2018 |
04/02/2025 |
Common
|
1,790
|
136.82
|
D
|
|
|
Stock Option (Right-to-Buy)
|
04/02/2017 |
04/02/2024 |
Common
|
1,070
|
149.34
|
D
|
|
| Explanation of Responses: |
| Remarks: |
| smithpoa.txt |
|
/s/ Mark Sifferlen, Attorney-In-Fact |
06/08/2016 |
|
** 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
4
(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. |
POWER OF ATTORNEY
I, Mark Andrew Smith, Vice President - Operations Finance, of Cummins Inc. (the
"Corporation"), hereby authorize and designate each of Marya M. Rose, Mark J.
Sifferlen, Marsha L. Hunt and Patrick J. Ward, my agent and attorney-in-fact,
with full power of substitution, to:
(1) prepare and sign on my behalf any Form 3, Form 4 or Form 5 and any
amendments thereto, under Section 16(a) of the Securities Exchange Act of 1934
(the "Exchange Act") that are necessary or advisable for the undersigned to file
under Section 16(a) and file the same with the Securities and Exchange
Commission and each stock exchange on which the Corporation's stock is listed;
(2) prepare and sign on my behalf any Form 144 Notice, and any amendments
thereto, pursuant to Rule 144 under the Securities Act of 1933 that is necessary
or advisable for the undersigned to file pursuant to Rule 144 and file the
same with the Securities and Exchange Commission; and
(3) do anything else which any of them in his or her discretion deems necessary
or proper in connection with the foregoing.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary or proper to be done in the exercise of any of the rights
and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that each such
attorney-in-fact (or such attorney-in-fact's substitute or substitutes) shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that each
attorney-in-fact, in serving in such capacity at the request of the undersigned,
is not assuming, nor is such attorney-in-fact's substitute or substitutes or
the Corporation assuming, any of the undersigned's responsibilities to comply
with the Exchange Act.
This power of attorney shall become effective as of the date hereof and shall
remain in effect as long as I am subject to Section 16 with respect to the
Corporation, and shall not be affected by my subsequent disability or
incompetence, unless otherwise revoked in writing by the undersigned.
Signed: /s/ Mark Andrew Smith
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