SEC Form 4 · accession 0001642689-17-000001

· WHR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

James W Peters

Officer — EXEC VICE PRESIDENT AND CFO

Period of report

Feb 15, 2017

Accepted (ET)

Feb 17, 2017 · 8:32 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^F1	Feb 15, 2017	M	198	—	A	10,157	D
Common Stock	Feb 15, 2017	F	73	$177.05	D	10,084	D
Common Stock^F2	Feb 15, 2017	M	67	—	A	10,151	D
Common Stock^F3	Feb 15, 2017	D	67	—	D	10,084	D
Common Stock^F4	Feb 16, 2017	M	113	—	A	10,197	D
Common Stock	Feb 16, 2017	F	41	$176.69	D	10,156	D
Common Stock^F5	Feb 16, 2017	M	37	—	A	10,193	D
Common Stock^F6	Feb 16, 2017	D	37	—	D	10,156	D
Common Stock	holding	—	—		—	2,079	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
Restricted Stock Units^F1	—	Feb 15, 2017	M	198	D	—	—	Common	198	384	D
Restricted Stock Units^F2	—	Feb 15, 2017	M	67	D	—	—	Common	67	126	D
Deferred Stock^F3	—	Feb 15, 2017	A	67	A	—	—	Common	67	323	D
Restricted Stock Units^F4	—	Feb 16, 2017	M	113	D	—	—	Common	113	113	D
Restricted Stock Units^F5	—	Feb 16, 2017	M	37	D	—	—	Common	37	37	D
Deferred Stock^F6	—	Feb 16, 2017	A	37	A	—	—	Common	37	360	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. Remaining restricted stock units will vest and convert one-for-one to shares as follows: equally on 02/15/2018 and 02/15/2019.
F2Vesting of restricted stock unit award made under the Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3. Remaining restricted stock units will vest and convert one-for-one to shares as follows: equally on 02/15/2018 and 02/15/2019.
F3Upon the vesting of restricted stock units granted to the reporting person on 02/15/2017, the reporting person deferred the receipt of 67 shares of deferred stock pursuant to Whirlpool's Executive Deferred Savings Plan II. As a result, the reporting person is reporting the disposition of 67 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.
F4Vesting of restricted stock unit award made under the Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3. Remaining restricted stock units will vest and convert one-for-one to shares on 02/16/2018.
F5Vesting of restricted stock unit award made under the Whirlpool Corporation Omnibus Stock and Incentive Plan in a transaction exempt under Rule 16b-3. Remaining restricted stock units will vest and convert one-for-one to shares on 02/16/2018.
F6Upon the vesting of restricted stock units granted to the reporting person on 02/16/2017, the reporting person deferred the receipt of 37 shares of deferred stock pursuant to Whirlpool's Executive Deferred Savings Plan II. As a result, the reporting person is reporting the disposition of 37 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.