SEC Form 4 · accession 0001573725-17-000001
WHIRLPOOL CORP /DE/ · WHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Esther F Berrozpe
Officer — EXECUTIVE VICE PRESIDENT
Period of report
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 6:09 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 StockF1 | Feb 15, 2017 | M | 608 | — | A | 9,630 | D | |
| Common Stock | Feb 15, 2017 | F | 277 | $177.05 | D | 9,353 | D | |
| Common StockF1 | Feb 16, 2017 | M | 292 | — | A | 9,645 | D | |
| Common Stock | Feb 16, 2017 | F | 133 | $176.69 | D | 9,512 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Feb 15, 2017 | M | 608 | D | — | — | Common | 608 | 1,176 | D |
| Restricted Stock UnitsF1,F3 | — | Feb 16, 2017 | M | 292 | D | — | — | Common | 292 | 292 | D |
Explanation of responses
- F1Vesting of restricted stock unit award made under the Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3.
- F2Remaining restricted stock units will vest and convert one-for-one to shares equally on 2/15/18 and 2/15/19.
- F3Remaining restricted stock units will vest and convert one-for-one to shares on 2/16/18.