-----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, J4jc8JPfRS2vDzSkTlK+04MfgamN+0wHK8UdRngj1NjTJ6lSiCkFBdTI4r8/COql JvTjDfTz3QSB6yHKIwXcCA== 0001167299-06-000009.txt : 20060919 0001167299-06-000009.hdr.sgml : 20060919 20060919111623 ACCESSION NUMBER: 0001167299-06-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060915 FILED AS OF DATE: 20060919 DATE AS OF CHANGE: 20060919 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: 061097222 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 2006-09-15 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 6485 D Phantom Restricted Shares (Strategic Excellence Program) 2006-09-15 4 A 0 6.838 0 A Common 1421.001 D Deferred Phantom ESAP Stock in WEDSP II 2006-09-15 4 A 0 3.599 0 A Common 747.88 D Phantom Restricted Shares (Special Retention Program) 2006-09-15 4 A 0 61.93 0 A Common 12826.3 D Phantom Restricted (Career) Stock 2006-09-15 4 A 0 135.25 0 A Common 28010.01 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 Phantom Restricted Shares (Maytag Recognition Awards) Common 15000 15000 D Employee Stock Option (Right to Buy) Common 10772 10772 D Employee Stock Option (Right to Buy) Common 20600 20600 D 5,181 shares are held in name of the undersigned's broker. Grant of 6.838 phantom shares of common stock ("dividend equivalents") based on 1,399.88 phantom shares deferred under the Strategic Excellence Program in transactions exempt under Rule 16b-3. As of 09/15/06, 1,421.001 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. Grant of 3.599 phantom shares of common stock ("dividend equivalents") based on 724.50 phantom shares deferred under the Executive Deferred Savings Plan II in transactions exempt under Rule 16b-3. As of 09/15/06, 747.880 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. Grant of 61.93 phantom shares of common stock ("dividend equivalents") based on 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 09/15/06, 12,826.30 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. Grant of 135.25 phantom shares of common stock ("dividend equivalents") based on 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 09/15/06, 28,010.01 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. 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. 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 2006-09-19 -----END PRIVACY-ENHANCED MESSAGE-----