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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/16/2013 |
3. Issuer Name and Ticker or Trading Symbol
WHIRLPOOL CORP /DE/ [ WHR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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 Stock | 1,557.147(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | ||||
Employee Stock Option (Right to Buy) | (2) | 02/19/2017 | Common | 625 | $94.47 | D | |
Employee Stock Option (Right to Buy) | (3) | 02/19/2018 | Common | 213 | $88.49 | D | |
Employee Stock Option (Right to Buy) | (4) | 02/14/2021 | Common | 1,917 | $85.45 | D | |
Employee Stock Option (Right to Buy) | (5) | 02/20/2022 | Common | 2,679 | $71.03 | D | |
Employee Stock Option (Right to Buy) | (6) | 02/18/2023 | Common | 2,316 | $111.33 | D | |
Restricted Stock Units | (7) | (7) | Common | 310 | (7) | D | |
Restricted Stock Units | (8) | (8) | Common | 10,000 | (8) | D | |
Restricted Stock Units | (9) | (9) | Common | 10,000 | (9) | D | |
Restricted Stock Units | (10) | (10) | Common | 484 | (10) | D | |
Restricted Stock Units | (11) | (11) | Common | 713 | (11) | D |
Explanation of Responses: |
1. As of 03/15/2013, the latest date for which information is reasonably available, there are 31.147 shares held in the account of the undersigned pursuant to the broker-administered dividend reinvestment plan. |
2. The option became exercisable in three substantially equal annual installments beginning on February 19, 2008. |
3. The option became exercisable in three substantially equal annual installments beginning on February 19, 2009. |
4. The option became exercisable in three substantially equal annual installments beginning on February 14, 2012. |
5. The option becomes exercisable in three substantially equal annual installments, beginning on February 20, 2013. |
6. The option becomes exercisable in three substantially equal annual installments, beginning on February 18, 2014. |
7. Restricted stock unit represents the right to receive one share of Whirlpool common stock. Restricted stock units will vest and convert one-for-one to shares on February 14, 2014. |
8. Restricted stock unit represents the right to receive one share of Whirlpool common stock. Restricted stock units will vest and convert one-for-one to shares as follows: 50% on March 15, 2014 and 50% on March 15, 2016. |
9. Restricted stock unit represents the right to receive one share of Whirlpool common stock. Restricted stock units will vest and convert one-for-one to shares as follows: 50% on February 20, 2015 and 50% on February 20, 2017. |
10. Restricted stock unit represents the right to receive one share of Whirlpool common stock. Restricted stock units will vest and convert one-for-one to shares as follows: one-third on February 20, 2014 and one-third on February 20, 2015. |
11. Restricted stock unit represents the right to receive one share of Whirlpool common stock. Restricted stock units will vest and convert one-for-one to shares as follows: one-third on February 18, 2014; one-third on February 18, 2015; and one-third on February 18, 2016. |
Remarks: |
/s/ Bridget K. Quinn, Attorney-in-Fact | 04/18/2013 | |
** 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. |