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) 06/01/2015 |
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 | 6,083.057(1) | D | |
Common Stock | 2,001.225 | I | 401(k) Stock Fund |
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) | 02/18/2023 | Common | 649 | $111.33 | D | |
Employee Stock Option (Right to Buy) | (3) | 02/17/2024 | Common | 1,264 | $138.56 | D | |
Employee Stock Option (Right to Buy) | (4) | 02/16/2025 | Common | 1,536 | $213.23 | D | |
Restricted Stock Units | (5) | (5) | Common | 5,000 | (5) | D | |
Restricted Stock Units | (6) | (6) | Common | 199 | (6) | D | |
Restricted Stock Units | (7) | (7) | Common | 10,000 | (7) | D | |
Restricted Stock Units | (8) | (8) | Common | 384 | (8) | D | |
Restricted Stock Units | (9) | (9) | Common | 343 | (9) | D | |
Restricted Stock Units | (10) | (10) | Common | 114 | (10) | D | |
Deferred Restricted Stock Units | (11) | (11) | Common | 209.589 | (11) | D |
Explanation of Responses: |
1. As of 03/15/2015, the latest date for which information is reasonably available, there are 5.057 shares held in the account of the reporting person pursuant to the broker-administered dividend reinvestment plan. |
2. The option, granted on February 18, 2013 with respect to 1,967 shares, became exercisable in three substantially equal annual installments beginning on February 18, 2014. |
3. The option, granted on February 17, 2014 with respect to 1,918 shares, became exercisable in three substantially equal annual installments beginning on February 17, 2015. |
4. The option, granted on February 16, 2015, becomes exercisable in three substantially equal annual installments beginning on February 16, 2016. |
5. The restricted stock units, granted on July 1, 2011 in the amount of 10,000 restricted stock units, vest in two equal installments beginning on July 1, 2013. Each restricted stock unit represents the right to receive one share of Whirlpool stock. The remaining restricted stock units will vest and convert one-for-one to shares on July 1, 2015. |
6. The restricted stock units, granted on February 18, 2013 in the amount of 606 restricted stock units, vest in three equal installments beginning on February 18, 2014. Each restricted stock unit represents the right to receive one share of Whirlpool stock. The remaining restricted stock units will vest and convert one-for-one to shares on February 18, 2016. |
7. Each restricted stock unit represents the right to receive one share of Whirlpool stock. Restricted stock units will vest and convert one-for-one to shares as follows: 50% on May 10, 2016 and 50% on May 10, 2018. |
8. The restricted stock units, granted on February 17, 2014 in the amount of 582 restricted stock units, vest in three equal installments beginning on February 17, 2015. Each restricted stock unit represents the right to receive one share of Whirlpool stock. The remaining restricted stock units will vest and convert one-for-one to shares as follows: one-third of the original grant on February 17, 2016 and one-third of the original grant on February 17, 2017. |
9. Each restricted stock unit represents the right to receive one share of Whirlpool stock. Restricted stock units will vest and convert one-for-one to shares as follows: one-third on February 16, 2016; one-third on February 16, 2017; and one-third on February 16, 2018. |
10. Each restricted stock unit represents the right to receive one share of Whirlpool stock. Restricted stock units will vest and convert one-for-one to shares as follows: one-third on February 16, 2016; one-third on February 16, 2017; and one-third on February 16, 2018. |
11. As of 03/15/2015, the latest date for which information is reasonably available, there are 209.589 units held in the Executive Deferred Stock Plan II account of the reporting person. Each unit represents the right to receive one share of common stock. |
Remarks: |
/s/ Bridget K. Quinn, Attorney-in-Fact | 06/02/2015 | |
** 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. |