-----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, B9RR3+KHgGfuS/TcXy+b934tDzG0fQ3D43jUxcoQHauSdmMjL0WIY978/SzVdFQW 3pt77TWgvED4ouLI5UImgQ== 0001224295-07-000003.txt : 20070703 0001224295-07-000003.hdr.sgml : 20070703 20070703120816 ACCESSION NUMBER: 0001224295-07-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070701 FILED AS OF DATE: 20070703 DATE AS OF CHANGE: 20070703 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: 07958736 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 2007-07-01 0000106640 WHIRLPOOL CORP /DE/ WHR 0001224295 FETTIG JEFF M WHIRLPOOL CORPORATION 2000 M-63N BENTON HARBOR MI 49022 1 1 0 0 CHAIRMAN AND CEO Common Stock 2007-07-01 4 M 0 22500 A 76172 D Common Stock 2007-07-01 4 M 0 9079 D 67093 D Common Stock 10 I Held by Son Common Stock 2877.46 I 401(k) Stock Fund Phantom Restricted Shares (Special Retention Program) 2007-07-01 4 M 0 22500 0 D Common 22500 22500 D Phantom Restricted Shares (Strategic Excellence Program) Common 9935.41 D Phantom Restricted Shares (Special Retention Program) Common 16224.32 D Phantom Restricted (Career) Stock Common 66478.6 D Deferred Phantom ESAP Stock in WEDSP Common 5980.122 D Deferred EDSP-Purchase of phantom Whirlpool stock Common 6662.838 D Phantom Restricted Shares (Special Retention Program) Common 23125 23125 D Phantom Restricted Shares (Maytag Recognition Awards) Common 25000 25000 D Phantom Restricted Shares (Strategic Excellence Program) Common 48580 48580 D Employee Stock Option (Right to Buy) Common 18000 18000 D Employee Stock Option (Right to Buy) Common 50000 50000 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 Employee Stock Option (Right to Buy) Common 83200 83200 D Employee Stock Option (Right to Buy) Common 91000 91000 D Settlement of 50% of a special retention award for 22,500 shares of common stock under the Whirlpool Corporation 1998 Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3 (see Table II for disposition of derivative securities (22,500 shares of phantom restricted stock)). Of the 22,500 shares received, 9,079 shares were sold to the Company pursuant to the Company's plan provisions under a tax withholding right. Participants may elect to defer receipt of vested shares. Dividend equivalents on deferred stock will be invested in additional stock. Restrictions lapse on the remaining 50% of this award on 07/01/2011. 53,672 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. As of 06/15/2007, there are 2,8877.46 shares held in the account of the undersigned pursuant to the Plan indicated in Column 7. 9,750 phantom stock shares deferred under the 2004 SEP award made under the 2002 Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3. These shares were reported in Table II as derivative securities in prior filings. As of 06/15/2007, a total of 9,935.41 phantom shares have been deferred from all awards, which includes dividend equivalents earned in phantom restricted stock. Original deferral of 15,000 phantom restricted shares (Special Retention Program) awarded under the Whirlpool Corporation 1998 Omnibus Stock & Incentive Plan in transactions exempt under Rule 16(b)-3(c). As of 06/15/2007, 16,224.32 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 50,000 phantom stock shares (Career Stock Award) awarded under the 1996 Whirlpool Omnibus Stock & 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 06/15/2007, 66,478.60 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 5,177.04 phantom shares deferred under the Executive Deferred Savings Plan in transactions exempt under Rule 16b-3. As of 06/15/2007, 5,980.122 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. Original deferral of 4,972.906 phantom shares in the Executive Deferred Savings Plan on 8/10/99 in a transaction exempt under Rule 16b-3. As of 6/15/2007, 6,662.838 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 23,125 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 02/19/2008. Participants may elect to defer receipt of vested shares. Dividend equivalents on deferred stock will be invested in additional stock. Award of 25,000 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. 48,580 phantom stock shares (Strategic Excellence Program) awarded on 02/19/2007 under the SEP 2006 grant of contingent shares made pursuant to the 2002 Whirlpool Corporation Omnibus Stock and Incentive Plan in transaction exempt under Rule 16(b)-3(c). Time restrictions will lapse and shares will become vested on 02/19/2009. 18,000 option shares with cashless exercise and tax withholding rights awarded on 06/15/1998 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 04/05/1999 at the option price of $52.28 per share. All shares are currently exercisable and will expire 10 years from date of grant. 64,000 option shares with cashless exercise and tax withholding rights awarded on 02/14/2000 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 02/19/2001 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 02/18/2002 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 02/17/2003 at the option price of $49.60 per share. All shares are currently exercisable and will expire 10 years from date of grant. 40,000 option shares with cashless exercise and tax withholding rights awarded on 02/16/2004 at the option price of $72.94 per share. All shares are currently exercisable and will expire 10 years from date of grant. 83,200 option shares with cashless exercise and tax withholding rights awarded on 02/20/2006 at the option price of $89.16 per share. 27,734 shares are currently exercisable with the remaining options becoming exercisable as follows: one-third on 02/20/2008; and one-third on 02/20/2009. The options will expire 10 years from the date of grant. 91,000 option shares awarded on 02/19/2007 at the option price of $94.47 per share with cashless exercise and tax withholding rights. Shares will become exercisable as follows: one-third on 02/19/2008; one-third on 02/19/2009; and one-third on 02/19/2010. The options will expire 10 years from the date of grant. /s/ Daniel F. Hopp, Corporate Secretary 2007-07-03 -----END PRIVACY-ENHANCED MESSAGE-----