SEC Filings


10-K
CUMMINS INC filed this Form 10-K on 02/11/2019
Entire Document
 

ITEM 12.    Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
Information concerning our equity compensation plans at December 31, 2018, was as follows:
Plan Category
 
Number of securities to be
issued upon exercise of
outstanding options,
warrants and rights(1)
 
Weighted-average
exercise price of
outstanding options,
warrants and rights(2)
 
Number of securities remaining
available for future issuance
under equity compensation
plans (excluding securities
reflected in the first column)
Equity compensation plans approved by security holders
 
3,659,405

 
$
130.55

 
7,849,044

________________________________________________
(1) 
The number is comprised of 3,243,662 stock options, 410,350 performance shares and 5,393 restricted shares. See NOTE 16, "STOCK INCENTIVE AND STOCK OPTION PLANS," to the Consolidated Financial Statements for a description of how options and shares are awarded.
(2) 
The weighted-average exercise price relates only to the 3,243,662 stock options. Performance and restricted shares do not have an exercise price and, therefore, are not included in this calculation.
We have no equity compensation plans not approved by security holders.
The remaining information required by Item 12 is incorporated by reference to the relevant information under the caption "Stock Ownership of Directors, Management and Others" in our 2019 Proxy Statement, which will be filed within 120 days after the end of 2018.
ITEM 13.    Certain Relationships, Related Transactions and Director Independence
The information required by Item 13 is incorporated by reference to the relevant information under the captions "Corporate Governance" and "Other Information-Related Party Transactions" in our 2019 Proxy Statement, which will be filed within 120 days after the end of 2018.
ITEM 14.    Principal Accounting Fees and Services
The information required by Item 14 is incorporated by reference to the relevant information under the caption "Selection of Independent Public Accountants" in our 2019 Proxy Statement, which will be filed within 120 days after the end of 2018.
PART IV
ITEM 15.    Exhibits and Financial Statement Schedules
(a)
The following Consolidated Financial Statements and schedules filed as part of this report can be found in Item 8 "Financial Statements and Supplementary Data":
Management's Report to Shareholders  
Report of Independent Registered Public Accounting Firm  
Consolidated Statements of Income for the years ended December 31, 2018, 2017 and 2016  
Consolidated Statements of Comprehensive Income for the years ended December 31, 2018, 2017 and 2016  
Consolidated Balance Sheets at December 31, 2018 and 2017  
Consolidated Statements of Cash Flows for the years ended December 31, 2018, 2017 and 2016  
Consolidated Statements of Changes in Equity for the years ended December 31, 2018, 2017 and 2016  
Notes to Consolidated Financial Statements
Selected Quarterly Financial Data (Unaudited)

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