CMI affiliate files Form 144 for performance‑share resale

Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 reporting proposed resale of Common stock comprised of performance-share awards.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 reporting proposed resale of Common stock comprised of performance-share awards. The filing lists award dates and quantities: 1 share (08/13/2020), 271 shares (03/01/2021) and 430 shares (03/01/2026). The filing names the exchange NYSE and includes an indicated date of 05/11/2026.

Insights

Securities Attorney

Form 144 signals an affiliate intends to resell awarded common shares.

Form 144 is a notice of proposed sale under Rule 144; it does not itself effect a sale. The entry lists specific performance-share award dates and exact share counts, which identify the source of the resale authorization.

Timing and execution details are not shown; subsequent transaction reports or broker records would document actual sales.

Equity Compensation Analyst

The filing itemizes vested/issuable performance shares by grant date and quantity.

The schedule shows three performance‑share entries dated 08/13/2020, 03/01/2021, and 03/01/2026 with 1, 271, and 430 shares respectively. These figures indicate the specific awards the affiliate lists for potential resale.

Further filings would be required to confirm whether and when each listed lot is actually sold.

Key Figures

Filing date: 05/11/2026 Award date: 08/13/2020 Award date: 03/01/2021 +3 more

6 metrics

Filing date 05/11/2026 Form 144 entry date

Award date 08/13/2020 Performance shares lot (1 share)

Award date 03/01/2021 Performance shares lot (271 shares)

Award date 03/01/2026 Performance shares lot (430 shares)

Filer identifier Morgan Stanley Smith Barney LLC Executive Financial Services Named filer and broker address

Exchange NYSE Exchange listed on the filing

Key Terms

Form 144, Performance Shares, Issuer

3 terms

Form 144 regulatory

"submitted a Form 144 reporting proposed resale"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Performance Shares financial

"Performance Shares | Issuer | 03/01/2021 | 271"

Performance shares are a type of company stock given to executives or employees that only become theirs if the company meets specific goals, like hitting certain profits or growth targets. They motivate leaders to work toward the company’s success, because their additional shares depend on achieving these results.

Issuer regulatory

"Performance Shares | Issuer | | | 271"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 filed for CMI mean?

It notifies the SEC of a proposed resale of Common stock by an affiliate. The filing lists award dates and exact quantities—1, 271, and 430 performance shares—without showing completed sales.

Which award dates and share counts are listed in the filing for CMI?

The filing lists performance‑share awards dated 08/13/2020 (1 share), 03/01/2021 (271 shares), and 03/01/2026 (430 shares). These are the lots the affiliate disclosed for resale consideration.

Does the Form 144 confirm the shares were sold?

No. Form 144 is a notice of proposed sale and does not evidence completion. The filing lists proposed lots; separate transaction reports would confirm actual sales and timing.

Who is listed as the filer on the Form 144 for CMI?

The filer is identified as Morgan Stanley Smith Barney LLC Executive Financial Services with an address at 1 New York Plaza, 8th Floor, New York, NY. The form names NYSE as the exchange.

Is the filing tied to a specific date?

The excerpt includes a date of 05/11/2026 associated with the filing entry. The award dates listed are 08/13/2020, 03/01/2021, and 03/01/2026 for the respective performance‑share lots.

AI-generated analysis. How Rhea-AI works. Not financial advice.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 05/11/2026 - 04:06 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0002005219
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	CUMMINS INC.
SEC File Number	001-04949
Address of Issuer	500 Jackson Street PO BOX 3005 Columbus INDIANA 47202-3005
Phone	(812) 377-5000
Name of Person for Whose Account the Securities are To Be Sold	BRETT MERRITT
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	702	483498.99	137989067	05/11/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/13/2020	Performance Shares	Issuer			1	08/13/2020	Not Applicable
Common	03/01/2021	Performance Shares	Issuer			271	03/01/2021	Not Applicable
Common	03/01/2026	Performance Shares	Issuer			430	03/01/2026	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	05/11/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Brett Michael Merritt
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)