-----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, E/Hil3c+I5J+2kH6RX2uSwCdBdn2dqxwHfhftk4iwo+zDX05uUsjzp3iH3AdTNfR RmcpQ/J9XmTLPm+wvN84HQ== 0001348569-06-000009.txt : 20060919 0001348569-06-000009.hdr.sgml : 20060919 20060919113602 ACCESSION NUMBER: 0001348569-06-000009 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: Yaggi William T CENTRAL INDEX KEY: 0001348569 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03932 FILM NUMBER: 061097276 BUSINESS ADDRESS: BUSINESS PHONE: 269-923-3973 MAIL ADDRESS: STREET 1: 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 0001348569 Yaggi William T 2000 M-63N BENTON HARBOR, MI 49022 0 1 0 0 EXECUTIVE VICE PRESIDENT Common Stock 3595 D Common Stock 2006-09-15 4 A 0 1.295 A 274.726 I 401(k) Stock Fund Phantom Restricted Shares (Strategic Excellence Program) 2006-09-15 4 A 0 2.41 0 A Common 500.948 D Deferred Phantom ESAP Stock in WEDSP 2006-09-15 4 A 0 4.681 0 A Common 972.73 D Deferred Phantom ESAP Stock in WEDSP II 2006-09-15 4 A 0 2.513 0 A Common 522.327 D Phantom Restricted Stock (Special Retention Program) 2006-09-15 4 A 0 37.4 0 A Common 7744.86 D Phantom Restricted Shares (Strategic Excellence Program) Common 658 658 D Phantom Restricted Stock (Special Retention Program) Common 7400 7400 D Phantom Restricted Stock (Special Retention Program) Common 20000 20000 D Phantom Restricted Shares (Maytag Recognition Awards) Common 10000 10000 D Employee Stock Option (Right to Buy) Common 3000 3000 D Employee Stock Option (Right to Buy) Common 7500 7500 D Employee Stock Option (Right to Buy) Common 9000 9000 D Employee Stock Option (Right to Buy) Common 18000 18000 D Employee Stock Option (Right to Buy) Common 4178 4178 D Employee Stock Option (Right to Buy) Common 5600 5600 D 3,488 shares are held in a brokerage account in the undersigned's name. The securities herein were acquired on 09/15/2006 pursuant to the Plan indicated in Column 7 at $88.93276 per share in transactions exempt from Section 16(b) pursuant to Rule 16(b)-3(c). As of 09/15/06, there are 274.726 shares held in the account of the undersigned pursuant to the Plan indicated in Column 7. Grant of 2.41 phantom shares of common stock ("dividend equivalents") based on 493.50 phantom shares deferred under the Strategic Excellence Program in transactions exempt under Rule 16b-3. As of 09/15/06, 500.948 total phantom shares deferred which includes dividend equivalents earned in phantom restricted stock. Grant of 4.681 phantom shares of common stock ("dividend equivalents") based on 891.44 phantom shares deferred under the Executive Deferred Savings Plan in transactions exempt under Rule 16b-3. As of 09/15/06, 972.73 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. Grant of 2.513 phantom shares of common stock ("dividend equivalents") based on 506 phantom shares deferred under the Executive Deferred Savings Plan II in transactions exempt under Rule 16b-3. As of 09/15/06, 522.327 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. Grant of 37.40 phantom shares of common stock ("dividend equivalents") based on original deferral of 7,400 phantom restricted share (Special Retention Program) awarded under the Whirlpool Corporation 1998 Omnibus Stock & Incentive Plan in transactions exempt under Rule 16(b)-3(c). As of 09/15/06, 7,744.86 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 658 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 & Incentive Plan in transactions exempt under Rule 16(b)-3(c). Time restrictions on these shares will lapse on 02/14/2007. 7,400 phantom stock shares (Special Retention Program) awarded under the Whirlpool Corporation 1998 Omnibus Stock & Incentive Plan in transactions exempt under Rule 16(b)-3(c). Shares will vest on 02/18/2008. Participants may elect to defer receipt of vested shares. Dividend equivalents on deferred stock will be invested in additional stock. 20,000 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 & 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 10,000 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. 3,000 option shares awarded on 06/15/1998 at the option price of $63.13 per share with tax withholding rights. All shares are currently exercisable and will expire 10 years from the date of grant. 7,500 option shares awarded on 02/19/2001 at the option price of $54.07 per share with cashless exercise and tax withholding rights. All shares are currently exercisable and will expire 10 years from the date of grant. 9,000 option shares awarded on 02/18/2002 at the option price of $67.29 per share with cashless exercise and tax withholding rights. All shares are currently exercisable and will expire 10 years from the date of grant. 18,000 option shares awarded on 02/17/2003 at the option price of $49.60 per share with cashless exercise and tax withholding rights. All shares are currently exercisable and will expire 10 years from the date of grant. 4,178 option shares awarded on 02/16/2004 at the option price of $72.94 per share with cashless exercise and tax withholding rights. 2,785 shares are currently exercisable with the remaining shares becoming exercisable on 02/16/2007. The options will expire 10 years from the date of grant. 5,600 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, Corporate Secretary 2006-09-19 -----END PRIVACY-ENHANCED MESSAGE-----