SEC Form 4 · accession 0001224295-17-000003
WHIRLPOOL CORP /DE/ · WHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeff M Fettig
Officer — CHAIRMAN AND CEO · Director
Period of report
Feb 22, 2017
Accepted (ET)
Feb 24, 2017 · 3:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000106640
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 22, 2017 | M | 40,250 | $88.49 | A | 54,983 | D | |
| Common StockF1 | Feb 22, 2017 | S | 40,250 | $180.6993 | D | 14,733 | D | |
| Common Stock | Feb 23, 2017 | M | 40,250 | $88.49 | A | 54,983 | D | |
| Common StockF2 | Feb 23, 2017 | S | 10,989 | $179.9462 | D | 43,994 | D | |
| Common StockF3 | Feb 23, 2017 | S | 21,363 | $180.6856 | D | 22,631 | D | |
| Common StockF4 | Feb 23, 2017 | S | 7,898 | $181.4133 | D | 14,733 | D | |
| Common Stock | Feb 24, 2017 | M | 40,200 | $88.49 | A | 54,933 | D | |
| Common StockF5 | Feb 24, 2017 | S | 14,112 | $178.6675 | D | 40,821 | D | |
| Common StockF6 | Feb 24, 2017 | S | 25,216 | $179.3692 | D | 15,605 | D | |
| Common StockF7 | Feb 24, 2017 | S | 872 | $180.1526 | D | 14,733 | D | |
| Common Stock | holding | — | — | — | 32,000 | I | By March 16, 2016 GRAT | |
| Common Stock | holding | — | — | — | 67,150 | I | By September 28, 2015 GRAT | |
| Common Stock | holding | — | — | — | 95,000 | I | By October 27, 2016 GRAT | |
| Common Stock | holding | — | — | — | 7,618 | I | 401(k) Stock Fund |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy) | $88.49 | Feb 22, 2017 | M | 40,250 | D | Feb 19, 2011 | Feb 19, 2018 | Common | 40,250 | 80,450 | D |
| Employee Stock Options (Right to Buy) | $88.49 | Feb 23, 2017 | M | 40,250 | D | Feb 19, 2011 | Feb 19, 2018 | Common | 40,250 | 40,200 | D |
| Employee Stock Option (Right to Buy) | $88.49 | Feb 24, 2017 | M | 40,200 | D | Feb 19, 2011 | Feb 19, 2018 | Common | 40,200 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.41 to $180.92, 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 price within the ranges set forth in this footnote.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.29 to $180.28, 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 price within the ranges set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.29 to $181.28, 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 price within the ranges set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.29 to $181.96, 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 price within the ranges set forth in this footnote.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.13 to $179.12, 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 price within the ranges set forth in this footnote.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.13 to $180.10, 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 price within the ranges set forth in this footnote.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.13 to $180.20, 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 price within the ranges set forth in this footnote.