-----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, Q5Vewgg9bELAbICIBH8K1Wdc+ljU1SD7x/M/63T/s8IjEdQakaDFT8HU2HJ5g8qu zs31MBzFxjqDltEa4puZng== 0001224295-04-000010.txt : 20040917 0001224295-04-000010.hdr.sgml : 20040917 20040917111558 ACCESSION NUMBER: 0001224295-04-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040915 FILED AS OF DATE: 20040917 DATE AS OF CHANGE: 20040917 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: FETTIG JEFF M CENTRAL INDEX KEY: 0001224295 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03932 FILM NUMBER: 041035135 BUSINESS ADDRESS: STREET 1: C/O WHIRLPOOL CORP STREET 2: 2000 M-63N CITY: BENTON HARBOR STATE: MI ZIP: 49022 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 2004-09-15 0000106640 WHIRLPOOL CORP /DE/ WHR 0001224295 FETTIG JEFF M WHIRLPOOL CORPORATION 2000 M-63N BENTON HARBOR MI 49022 1 1 0 0 Chairman & Chief Exec Officer Common Stock 36818 D Common Stock 10 I Held by Son Common Stock 2004-09-15 4 A 0 18.966 A 2740.649 I 401(k) Stock Fund Phantom Restricted Shares (Special Retention Program) Common 45000 45000 D Phantom Restricted Shares (Special Retention Program) Common 23125 23125 D Deferred SRP Shares in WEDSP 2004-09-15 4 A 0 107.41 0 A Common 15299.9 D Employee Stock Option (Right to Buy) Common 15000 15000 D Employee Stock Option (Right to Buy) Common 17500 17500 D Employee Stock Option (Right to Buy) Common 20500 20500 D Phantom Restricted (Career) Stock 2004-09-15 4 A 0 440.46 0 A Common 62690.8 D Deferred Phantom ESAP Stock in WEDSP 2004-09-15 4 A 0 44.108 0 A Common 6285.127 D Employee Stock Option (Right to Buy) Common 18000 18000 D Employee Stock Option (Right to Buy) Common 50000 50000 D Deferred EDSP-Purchase of phantom Whirlpool stock 2004-09-15 4 A 0 39.571 0 A Common 5638.658 D Employee Stock Option (Right to Buy) Common 64000 64000 D Employee Stock Option (Right to Buy) Common 70000 70000 D Employee Stock Option (Right to Buy) Common 70000 70000 D Employee Stock Option (Right to Buy) Common 70000 70000 D Employee Stock Option (Right to Buy) Common 40000 40000 D The shares are held in the name of the undersigned's broker. The reporting person disclaims beneficial ownership of all securities held by his children, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. The securities herein were acquired on 09/15/04 pursuant to the Plan indicated in Column 7 at $60.842190 per share in transactions exempt from Section 16(b) pursuant to Rule 16(b)-3(c). As of 09/15/04, there are 2,740.649 shares held in the account of the undersigned pursuant to the Plan indicated in Column 7. 45,000 phantom stock shares (Special Retention Program) awarded on 06/14/04 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. 46,250 phantom stock shares (Special Retention Program) awarded on 02/19/01 under the Whirlpool Corporation 1998 Omnibus Stock and Incentive Plan in transactions exempt under Rule 16(b)-3(c). Restrictions lapse on the remaining 50% of this award on 02/19/08. 15,000 shares were deferred. Grant of 107.41 phantom shares of common stock ("dividend equivalents") based on phantom shares deferred under the Special Retention Program in transactions exempt under Rule 16b-3. As of 09/15/04, 15,299.90 total phantom shares deferred. 15,000 option shares with cashless exercise and tax withholding rights awarded on 08/15/95 at the option price of $55.81 per share. All shares are currently exercisable and will expire 10 years from date of grant. 17,500 option shares with cashless exercise and tax withholding rights awarded on 06/18/96 at the option price of $50.44 per share. All shares are currently exercisable and will expire 10 years from date of grant. 20,500 option shares with cashless exercise and tax withholding rights awarded on 04/15/97 at the option price of $45.75 per share. All shares are currently exercisable and will expire 10 years from date of grant. Grant of 440.46 phantom shares of common stock ("dividend equivalents") based on original grant of 50,000 phantom stock shares (Career Stock Award) awarded under the 1996 Omnibus Stock and Incentive Plan in transactions exempt under Rule 16b-3(c). 40,000 phantom shares are currently vested, with the remaining shares becoming vested as follows: 10,000 shares on retirement after age 60. As of 09/15/04, 62,690.80 total phantom shares deferred. Grant of 44.108 phantom shares of common stock ("dividend equivalents") based on phantom shares deferred under the Executive Deferred Savings Plan in transactions exempt under Rule 16b-3. As of 09/15/04, 6,285.127 total phantom shares deferred. 18,000 option shares with cashless exercise and tax withholding rights awarded on 06/15/98 at the option price of $63.13 per share. All shares are currently exercisable and will expire 10 years from date of grant. 50,000 option shares with cashless exercise and tax withholding rights awarded on 04/05/99 at the option price of $52.28 per share. All shares are currently exercisable and will expire 10 years from date of grant. Grant of 39.571 phantom shares of common stock ("dividend equivalents") based on original deferral of 4,972.906 phantom shares in the Executive Deferred Savings Plan on 08/10/99 in a transaction exempt under Rule 16b-3. As of 09/15/04, 5,638.658 total phantom shares deferred. 64,000 option shares with cashless exercise and tax withholding rights awarded on 02/14/00 at the option price of $52.19 per share. All shares are currently exercisable and will expire 10 years from date of grant. 70,000 option shares with cashless exercise and tax withholding rights awarded on 02/19/01 at the option price of $54.07 per share. All shares are currently exercisable and will expire 10 years from date of grant. 70,000 option shares with cashless exercise and tax withholding rights awarded on 02/18/02 at the option price of $67.29 per share. All shares are currently exercisable and will expire 10 years from date of grant. 70,000 option shares with cashless exercise and tax withholding rights awarded on 02/17/03 at the option price of $49.60 per share. 35,000 shares are currently exercisable, with the remaining 35,000 shares becoming exercisable on 02/17/05. The options will expire 10 years from date of grant. 40,000 option shares with cashless exercise and tax withholding rights awarded on 02/16/04 at the option price of $72.94 per share. Shares will become exercisable as follows: one-third on 02/16/05; one-third on 02/16/06; and one-third on 02/16/07. The options will expire 10 years from date of grant. Robert T. Kenagy, Corporate Secretary 2004-09-17 -----END PRIVACY-ENHANCED MESSAGE-----