-----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, F4JkuDFPJMcOT5kAP3d3CkZWVfb3mgTrmCBfdhLnklhnHk3Ulkw1DdDvboatx8nI e/N3K3PnLzY55jy6WIWLaw== 0001315523-07-000001.txt : 20070104 0001315523-07-000001.hdr.sgml : 20070104 20070104160904 ACCESSION NUMBER: 0001315523-07-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070101 FILED AS OF DATE: 20070104 DATE AS OF CHANGE: 20070104 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: HU MARK K CENTRAL INDEX KEY: 0001315523 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03932 FILM NUMBER: 07509508 BUSINESS ADDRESS: BUSINESS PHONE: 269-923-5000 MAIL ADDRESS: STREET 1: 2000 M-63N CITY: BENTON HARBOR STATE: MI ZIP: 49022 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-01-01 0000106640 WHIRLPOOL CORP /DE/ WHR 0001315523 HU MARK K 2000 M-63N BENTON HARBOR, MI 49022 0 1 0 0 EXECUTIVE VICE PRESIDENT Common Stock 2007-01-01 4 M 0 5000 83.25 A 6209 D Common Stock 2007-01-01 4 M 0 883 83.25 D 5326 D Phantom Restricted Shares (Special Retention Program) 83.25 2007-01-01 4 M 0 5000 0 D Common 5000 5000 D Phantom Restricted Shares (Strategic Excellence Program) Common 792 792 D Employee Stock Option (Right to Buy) Common 20000 20000 D Employee Stock Option (Right to Buy) Common 5027 5027 D Employee Stock Option (Right to Buy) Common 4600 4600 D Settlement of 50% of a special retention award totalling 10,000 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 (5,000 shares of phantom restricted stock)). Of the 5,000 shares received, 883 shares were sold to the Company pursuant to the Company's plan provisions under a tax withholidng right. Restrictions will lapse on the remaining 50% of this award on 01/01/2011. Participants may elect to defer receipt of vested shares. Dividend equivalents on deferred stock will be invested in additional stock. 792 phantom stock shares (Strategic Excellence Program) awarded on 02/14/2005 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. 20,000 option shares with cashless exercise and tax withholding rights awarded on 01/05/2004 at the option price of $71.80 per share. All shares are currently exercisable and the options will expire 10 years from the date of grant. 5,027 option shares with cashless exercise and tax withholding rights awarded on 02/16/2004 at the option price of $72.94 per share. 3,351 shares are currently exercisable, with the remaining one third becoming exercisable on 02/16/2007. The options will expire 10 years from the date of grant. 4,600 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 02/20/2008; and one-third on 02/20/2009. The options will expire 10 years from the date of grant. /s/ Robert T. Kenagy 2007-01-04 -----END PRIVACY-ENHANCED MESSAGE-----