|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 02/20/2015 | M | 120 | (1) | (1) | Common | 120 | $ 0 | 0 | D | ||||
Restricted Stock Units | (3) | 02/20/2015 | M | 464 | (3) | (3) | Common | 464 | $ 0 | 0 | D | ||||
Deferred Stock | (4) | 02/20/2015 | A | 453.1 | (4) | (4) | Common | 453.1 | $ 0 | 453.1 | D | ||||
Employee Stock Option (Right to Buy) | $ 71.03 | 02/20/2015 | M | 439 | (6) | 02/20/2022 | Common | 439 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 111.33 | 02/20/2015 | M | 530 | (7) | 02/18/2023 | Common | 530 | $ 0 | 530 | D | ||||
Employee Stock Option (Right to Buy) | $ 138.56 | 02/20/2015 | M | 1,111 | (8) | 02/17/2024 | Common | 1,111 | $ 0 | 2,156 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Liotine Joseph T. C/O WHIRLPOOL CORPORATION 2000 M-63N BENTON HARBOR, MI 49022 |
EXEC VICE PRESIDENT & PRES NA |
/s/ Bridget K. Quinn, Attorney-in-Fact | 02/24/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Vesting of remaining restricted stock unit award made under the Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3. |
(2) | Vesting of performance-based restricted stock unit award for the 2012-2014 performance period made under the Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3. |
(3) | Vesting of performance-based restricted stock unit award for the 2012-2014 performance period made under the Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3. |
(4) | Upon the vesting of restricted stock units granted to the reporting person on February 20, 2012, the reporting person deferred the receipt of 453.10 shares of common stock and received instead 453.10 shares of deferred stock pursuant to Whirlpool's Executive Deferred Savings Plan II. As a result, the reporting person is reporting the disposition of 453.10 shares of common stock in exchange for an equal number of shares of deferred stock. The deferred stock becomes payable following the reporting person's termination of employment with Whirlpool Corporation. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.50 to $212.52, inclusive. The reporting person undertakes to provide to Whirlpool Corporation, any security holder of Whirlpool Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(6) | The option became exercisable in three substantially equal installments beginning on February 20, 2013. |
(7) | The option first became exercisable in three substantially equal installments, beginning on February 18, 2014. |
(8) | The option first became exercisable in three substantially equal installments, beginning on February 17, 2015. |