SEC Form 4 · accession 0001545393-16-000011
WHIRLPOOL CORP /DE/ · WHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joao Carlos Brega
Officer — EXECUTIVE VICE PRESIDENT
Period of report
Aug 1, 2016
Accepted (ET)
Aug 2, 2016 · 4:31 pm EDT
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 | Aug 1, 2016 | M | 3,452 | $71.03 | A | 29,043 | D | |
| Common Stock | Aug 1, 2016 | M | 4,714 | $111.33 | A | 33,757 | D | |
| Common StockF1 | Aug 1, 2016 | S | 8,166 | $193.4347 | D | 25,591 | D | |
| Common StockF1 | Aug 1, 2016 | S | 6,000 | $193.4347 | D | 19,591 | D | |
| Common StockF2 | holding | — | — | — | 902 | D |
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) | $71.03 | Aug 1, 2016 | M | 3,452 | D | Feb 20, 2015 | Feb 20, 2022 | Common | 3,452 | 0 | D |
| Employee Stock Options (Right to Buy) | $111.33 | Aug 1, 2016 | M | 4,714 | D | Feb 18, 2015 | Feb 18, 2023 | Common | 4,714 | 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 $193.29 to $193.70, 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.
- F2As of 6/15/2016, the latest date for which information is reasonably available, there are 901.708 shares held in the account of the undersigned pursuant to the broker-administered dividend reinvestment plan.