-----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, ToJzmJobF/ZguEeR+SzvW7Q12JpqsaTeoJX0w+Qo1LpWa6Xg6ebpQeJ0+Vn33qBW FqaAD+ls4e94ySpUgfK0Sg== 0001348569-07-000004.txt : 20070703 0001348569-07-000004.hdr.sgml : 20070703 20070703121422 ACCESSION NUMBER: 0001348569-07-000004 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: Yaggi William T CENTRAL INDEX KEY: 0001348569 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03932 FILM NUMBER: 07958795 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 2007-07-01 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 2007-07-01 4 M 0 10000 A 13702 D Common Stock 2007-07-01 4 M 0 3782 D 9920 D Common Stock 302.562 I 401(k) Stock Fund Phantom Restricted Stock (Special Retention Program) 2007-07-01 4 M 0 10000 0 D Common 10000 10000 D Phantom Restricted Shares (Strategic Excellence Program) Common 1005.769 D Deferred Phantom ESAP Stock in WEDSP Common 986.23 D Deferred Phantom ESAP Stock in WEDSP II Common 529.576 D Phantom Restricted Stock (Special Retention Program) Common 7854.28 D Phantom Restricted Stock (Special Retention Program) Common 7400 7400 D Phantom Restricted Shares (Maytag Recognition Awards) Common 10000 10000 D Phantom Restricted Shares (Strategic Excellence Program) Common 3271 3271 D Employee Stock Option (Right to Buy) Common 9000 9000 D Employee Stock Option (Right to Buy) Common 15000 15000 D Employee Stock Option (Right to Buy) Common 4178 4178 D Employee Stock Option (Right to Buy) Common 5600 5600 D Employee Stock Option (Right to Buy) Common 6800 6800 D Settlement of 50% of a special retention award for 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 (10,000 shares of phantom restricted stock)). Of the 10,000 shares received, 3,782 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. 3,702 shares are held in a brokerage account in the undersigned's name. As of 06/15/2007, there are 302.562 shares held in the account of the undersigned pursuant to the Plan indicated in Column 7. 987 phantom shares deferred under the 2004 SEP award in a transaction exempt under Rule 16b03. These shares were reported in Table II as derivative securities in prior filings. As of 06/15/2007, a total of 1,005.769 phantom shares have been deferred from all awards, which includes dividend equivalents earned in phantom restricted stock. 891.44 phantom shares deferred under the Executive Deferred Savings Plan in transactions exempt under Rule 16b-3. As of 06/15/2007, 986.23 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 506 phantom shares deferred under the Executive Deferred Savings Plan II in transactions exempt under Rule 16b-3. As of 06/15/2007, 529.576 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 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 06/15/2007, 7,854.28 total phantom shares deferred, which includes dividend equivalents earned in phantom restricted stock. 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. 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. 3,271 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. 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 with cashless exercise and tax withholding rights awarded on 02/17/2003 at the option price of $49.60 per share with the cashless exercise and tax withholding rights. 15,000 shares remain and are 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. All shares are currently exercisable and 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. 1,867 shares are currently exercisable with the remaining shares 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. 6,800 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-----