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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 02/15/2019 | M | 255 | (1) | (1) | Common Stock | 255 | $ 0 | 0 | D | ||||
Deferred Stock | (3) | 02/15/2019 | A | 58.18 | (3) | (3) | Common Stock | 58.18 | $ 0 | 525.936 | D | ||||
Employee Stock Option (Right to Buy) | $ 139.36 | 02/18/2019 | A | 21,891 | (4) | 02/18/2029 | Common Stock | 21,891 | $ 0 | 21,891 | D | ||||
Restricted Stock Units | (2) | 02/18/2019 | M | 573 | (2) | (2) | Common Stock | 573 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Peters James W WHIRLPOOL CORPORATION 2000 N. M-63 BENTON HARBOR, MI 49022 |
EXEC VICE PRESIDENT AND CFO |
/s/ Bridget K. Quinn, Attorney-in-Fact | 02/20/2019 | |
**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 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 2016-2018 performance period made under the Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule16b-3. |
(3) | Upon the vesting of restricted stock units granted to the reporting person on 02/15/2019, the reporting person deferred the receipt of 58.18 shares of deferred stock pursuant to Whirlpool's Executive Deferred Savings Plan II. As a result, the reporting person is reporting the disposition of 58.18 shares of common stock in exchange for an equal number of shares of deferred stock. The deferred stock is payable following the reporting person's termination of employment with Whirlpool Corporation. |
(4) | Options will vest and become exercisable as follows: one-third on 02/18/2020; one-third on 02/18/2021; and one-third on 02/18/2022. |