-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MJ46LCxroIqi2vWUhPL2jlm6A+XBZTqm8kIyL34xlNX73CEen3JztruA7kNnOgth AZFLK5jBFob+wB38XwCGVQ== 0001167299-06-000008.txt : 20060914 0001167299-06-000008.hdr.sgml : 20060914 20060914142322 ACCESSION NUMBER: 0001167299-06-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060912 FILED AS OF DATE: 20060914 DATE AS OF CHANGE: 20060914 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WHIRLPOOL CORP /DE/ CENTRAL INDEX KEY: 0000106640 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD APPLIANCES [3630] IRS NUMBER: 381490038 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: WHIRLPOOL CNTR 2000 M 63 STREET 2: C/O CORPORATE SECRETARY CITY: BENTON HARBOR STATE: MI ZIP: 49022-2692 BUSINESS PHONE: 6169235000 MAIL ADDRESS: STREET 1: WHIRLPOOL CTR 2000 M 63 STREET 2: C/O CORPORATE SECRETARY CITY: BENTON HARBOR STATE: MI ZIP: 49022-2692 FORMER COMPANY: FORMER CONFORMED NAME: WHIRLPOOL SEEGER CORP DATE OF NAME CHANGE: 19710824 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SWIFT DAVID L CENTRAL INDEX KEY: 0001167299 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03932 FILM NUMBER: 061090357 BUSINESS ADDRESS: BUSINESS PHONE: 2699233973 MAIL ADDRESS: STREET 1: C/O WHIRLPOOL CORP STREET 2: 2000 M-63N CITY: BENTON HARBOR STATE: MI ZIP: 49022 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-09-12 0000106640 WHIRLPOOL CORP /DE/ WHR 0001167299 SWIFT DAVID L WHIRLPOOL CORPORATION 2000 M-63N BENTON HARBOR MI 49022 1 1 0 0 PRESIDENT WHIRLPOOL N. AMER Common Stock 2006-09-12 4 M 0 26000 67.29 A 31485 D Common Stock 2006-09-12 4 S 0 26000 87.7833 D 5485 D Common Stock 2006-09-12 4 M 0 1000 67.29 A 6485 D Employee Stock Option (Right to Buy) 2006-09-12 4 M 0 26000 0 D Common 26000 1000 D Employee Stock Option (Right to Buy) 2006-09-12 4 M 0 1000 0 D Common 1000 0 D Phantom Restricted Shares (Maytag Recognition Awards) Common 15000 15000 D Phantom Restricted Shares (Strategic Excellence Program) Common 1414.168 D Deferred Phantom ESAP Stock in WEDSP II Common 744.281 D Phantom Restricted Shares (Special Retention Program) Common 12764.36 D Phantom Restricted (Career) Stock Common 27874.76 D Phantom Restricted Shares (Strategic Excellence Program) Common 1866 1866 D Phantom Restricted Shares (Special Retention Program) Common 12500 12500 D Phantom Restricted Shares (Special Retention Program) Common 30000 30000 D Employee Stock Option (Right to Buy) Common 10772 10772 D Employee Stock Option (Right to Buy) Common 20600 20600 D Cashless exercise of 26,000 shares and immediate sale through broker of an award granted on 02/18/2002 at the option price of $67.29 per share with the cashless exercise and tax withholding rights. All shares were exercisable and would have expired 10 years from the date of grant. Exercise of 1,000 shares of an award granted on 02/18/2002 at the option price of $67.29 per share with the cashless exercise and tax withholding rights. All shares were exercisable and would have expired 10 years from the date of grant. 5,181 shares are held in name of the undersigned's broker. Award of 15,000 phantom stock shares (Maytag Recognition Awards) on 08/13/2006 under the Whirlpool Corporation 2002 Omnibus Stock and Incentive Plan in transactions exempt under Rule 16(b)-3(c). Restrictions will lapse on the award on 08/13/2009. Dividend equivalents will be paid annually in cash. 1,399.88 phantom shares deferred under the Strategic Excellence Program in transactions exempt under Rule 16b-3. As of 06/15/06, the latest date for which information is reasonably available, 1,414.168 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 724.50 phantom shares deferred under the Executive Deferred Savings Plan II in transactions exempt under Rule 16b-3. As of 06/15/06, the latest date for which information is reasonably available, 744.281 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. Original deferral of 12,266.37 phantom restricted shares (Special Retention Program) awarded under the 1998 Whirlpool Corporation Omnibus Stock and Incentive Plan in transactions exempt under Rule 16(b)-3(c). As of 06/15/06, the latest date for which information is reasonably available, 12,764.36 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 25,000 phantom stock shares (Career Stock Award) awarded under the 1996 Omnibus Stock and Incentive Plan in transactions exempt under Rule 16(b)-3(c). Phantom shares will become vested as follows: 10,000 shares on 11/26/06; 10,000 shares on 11/26/10; and 5,000 shares on retirement after age 60. As of 06/15/06, the latest date for which information is reasonably available, 27,874.76 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 1,866 phantom stock shares (Strategic Excellence Program) awarded on 02/14/05 under the SEP 2004 grant made pursuant to the 2002 Whirlpool Corporation Omnibus Stock and Incentive Plan in transactions exempt under Rule 16(b)-3(c). Time restrictions on these shares will lapse on 02/14/2007. 12,500 phantom stock shares (Special Retention Program) awarded under the Whirlpool Corporation 1998 Omnibus Stock and Incentive Plan in transactions exempt under Rule 16(b)-3(c). Shares will vest on 11/26/08. Participants may elect to defer receipt of vested shares. Dividend equivalents on deferred stock will be invested in additional stock. 30,000 phantom stock shares (Special Retention Program) awarded on 06/14/2004 with the effective date of the award to be 07/01/2004 under the Whirlpool Corporation 2002 Omnibus Stock and Incentive Plan in transactions exempt under Rule 16(b)-3(c). Shares will become vested as follows: 50% on 07/01/2007 and 50% on 07/01/2011. Participants may elect to defer receipt of vested shares. Dividend equivalents on deferred stock will be invested in additional stock. 10,772 option shares with cashless exercise and tax withholding rights awarded on 02/16/04 at the option price of $72.94 per share. 7,181 shares are currently exercisable, with the remaining shares becoming exercisable on 02/16/07. The options will expire 10 years from date of grant. 20,600 option shares with cashless exercise and tax withholding rights awarded on 02/20/2006 at the option price of $89.16 per share. Shares will become exercisable as follows: one-third on 02/20/2007; one-third on 02/20/2007; and one-third on 02/20/2009. The options will expire 10 years from the date of grant. /s/ Robert T. Kenagy 2006-09-14 -----END PRIVACY-ENHANCED MESSAGE-----