FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/16/2019 |
3. Issuer Name and Ticker or Trading Symbol
WHIRLPOOL CORP /DE/ [ WHR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 635.945 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (Right to Buy) | (1) | 02/18/2023 | Common Stock | 292 | $111.33 | D | |
Employee Stock Options (Right to Buy) | (2) | 02/16/2025 | Common Stock | 275 | $213.23 | D | |
Employee Stock Options (Right to Buy) | (3) | 02/15/2026 | Common Stock | 619 | $132.19 | D | |
Employee Stock Options (Right to Buy) | (4) | 02/20/2027 | Common Stock | 461 | $177.19 | D | |
Employee Stock Options (Right to Buy) | (5) | 02/19/2028 | Common Stock | 568 | $172.7 | D | |
Restricted Stock Units | (6) | (6) | Common Stock | 37 | (6) | D | |
Restricted Stock Units | (7) | (7) | Common Stock | 1,000 | (7) | D | |
Restricted Stock Units | (8) | (8) | Common Stock | 82 | (8) | D | |
Restricted Stock Units | (9) | (9) | Common Stock | 325 | (9) | D |
Explanation of Responses: |
1. The options became exercisable in three substantially equal annual installments beginning on February 18, 2014. |
2. The options became exercisable in three substantially equal annual installments beginning on February 16, 2016. |
3. The options became exercisable in three substantially equal annual installments beginning on February 15, 2017. |
4. The options became exercisable in three substantially equal annual installments beginning on February 20, 2018 and the remaining installment will become exercisable on February 20, 2020. |
5. The options became exercisable in three substantially equal annual installments beginning on February 19, 2019 and the remaining installments will become exercisable on February 19, 2020 and February 19, 2021. |
6. The restricted stock units, granted on February 20, 2017 in the amount of 114 restricted stock units, have one remaining vest date, February 20, 2020, in the amount of 37 restricted stock units. The remaining restricted stock units will vest and convert one-for-one to shares on that date. |
7. The restricted stock units, granted on February 19, 2018, will vest on February 19, 2021 and convert one-for-one to shares on that date. |
8. The restricted stock units, granted on February 19, 2018 in the amount of 126 restricted stock units, have two remaining vest dates, February 19, 2020 and February 19, 2021 and will vest and convert one-for-one to shares on those dates. |
9. The restricted stock units, granted on February 18, 2019, will vest in increments of one-third of the original grant on each date, February 18, 2020, February 18, 2021, and February 18, 2022 and convert one-for-one to shares on those dates. |
Remarks: |
/s/ Bridget K. Quinn, Attorney-in-Fact | 09/25/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |