FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
WHIRLPOOL CORP /DE/ [ WHR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/04/2004 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/04/2004 | M(1) | 3,200 | A | $55.81 | 8,128 | D | |||
Common Stock | 02/04/2004 | S(1) | 3,200 | D | $73.0513 | 4,928 | D | |||
Common Stock | 02/04/2004 | M(2) | 8,000 | A | $50.44 | 12,928 | D | |||
Common Stock | 02/04/2004 | S(2) | 8,000 | D | $73.0513 | 4,928 | D | |||
Common Stock | 02/04/2004 | M(3) | 11,000 | A | $45.75 | 15,928 | D | |||
Common Stock | 02/04/2004 | S(3) | 11,000 | D | $73.0513 | 4,928 | D | |||
Common Stock | 02/04/2004 | M(4) | 27,000 | A | $52.28 | 31,928 | D | |||
Common Stock | 02/04/2004 | S(4) | 27,000 | D | $73.0513 | 4,928 | D | |||
Common Stock | 02/04/2004 | M(5) | 27,000 | A | $52.19 | 31,928 | D | |||
Common Stock | 02/04/2004 | S(5) | 27,000 | D | $73.0513 | 4,928 | D | |||
Common Stock | 02/04/2004 | M(6) | 22,600 | A | $54.07 | 27,528 | D | |||
Common Stock | 02/04/2004 | S(6) | 22,600 | D | $73.0513 | 4,928 | D | |||
Common Stock | 402.97(7) | D(8) | ||||||||
Common Stock | 3,434.8(9) | I | 401(k) Stock Fund |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $55.81(1) | 02/04/2004 | M(1) | 3,200 | (1) | (1) | Common | 3,200 | $0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $50.44(2) | 02/04/2004 | M(2) | 8,000 | (2) | (2) | Common | 8,000 | $0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $45.75(3) | 02/04/2004 | M(3) | 11,000 | (3) | (3) | Common | 11,000 | $0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $52.28(4) | 02/04/2004 | M(4) | 27,000 | (4) | (4) | Common | 27,000 | $0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $52.19(5) | 02/04/2004 | M(5) | 27,000 | (5) | (5) | Common | 27,000 | $0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $54.07(6) | 02/04/2004 | M(6) | 22,600 | (6) | (6) | Common | 22,600 | $0 | 0 | D | ||||
Phantom Restricted (Career) Shares | (10) | (10) | (10) | Common | (10) | 24,584.64(10) | D | ||||||||
Deferred Phantom ESAP Stock in WEDSP | (11) | (11) | (11) | Common | (11) | 11,328.803(11) | D | ||||||||
Employee Stock Option (Right to Buy) | (12) | (12) | (12) | Common | 15,000 | 15,000 | D | ||||||||
Employee Stock Option (Right to Buy) | (13) | (13) | (13) | Common | 23,000 | 23,000 | D | ||||||||
Employee Stock Option (Right to Buy) | (14) | (14) | (14) | Common | 23,000 | 23,000 | D |
Explanation of Responses: |
1. Cashless exercise and immediate sale through broker of 3,200 shares outstanding in award dated 08/15/95 at the option price of $55.81 per share with the cashless exercise and tax withholding features. All shares were currently exercisable and would have expired 10 years from date of grant. |
2. Cashless exercise and immediate sale through broker of 8,000 shares outstanding in award dated 06/18/96 at the option price of $50.44 per share with the cashless exercise and tax withholding features. All shares were currently exercisable and would have expired 10 years from date of grant. |
3. Cashless exercise and immediate sale through broker of 11,000 shares outstanding in award dated 04/15/97 at the option price of $45.75 per share with the cashless exercise and tax withholding features. All shares were currently exercisable and would have expired 10 years from date of grant. |
4. Cashless exercise and immediate sale through broker of 27,000 shares outstanding in award dated 04/05/99 at the option price of $52.28 per share with the cashless exercise and tax withholding features. All shares were currently exercisable and would have expired 10 years from date of grant. |
5. Cashless exercise and immediate sale through broker of 27,000 shares outstanding in award dated 02/14/00 at the option price of $52.19 per share with the cashless exercise and tax withholding features. All shares were currently exercisable and would have expired 10 years from date of grant. |
6. Cashless exercise and immediate sale through broker of 22,600 shares outstanding in award dated 02/19/01 at the option price of $54.07 per share with the cashless exercise and tax withholding features. All shares were currently exercisable and would have expired 10 years from date of grant. |
7. As of 12/15/03, the latest date for which information is reasonably available, there are 402.97 shares held in the account of the undersigned pursuant to the Whirlpool Corporation Automatic Dividend Reinvestment Plan. |
8. The execution and filing of this report shall not be construed as an admission that the undersigned is for the purpose of Section 16 of the Securities Exchange Act of 1934 the beneficial owner of 36.687 shares held in joint tenancy by the undersigned and Mrs. Thieneman. |
9. As of 12/15/03, the latest date for which information is reasonably available, there are 3,434.800 shares held in the account of the undersigned pursuant to the Plan indicated in Column 7. |
10. Original grant of 20,000 phantom stock shares (Career Stock Award) awarded under the Whirlpool Corporation 1989 Omnibus Stock and Incentive Plan in transactions exempt under Rule 16b-3(c). 4,000 phantom shares are currently vested, with the remaining shares becoming vested as follows: 4,000 shares on 07/01/05; and 12,000 shares on retirement after age 60. As of 12/15/03, 24,584.64 total phantom shares deferred. |
11. 10,308.97 phantom ESAP shares deferred under the Executive Deferred Savings Plan in transactions exempt under Rule 16b-3. As of 12/15/03, 11,328.803 total phantom shares deferred. |
12. 15,000 option shares with cashless exercise and tax withholding rights awarded on 06/15/98 at the option price of $63.13 per share. All shares are currently exercisable and will expire 10 years from date of grant. |
13. 23,000 option shares with cashless exercise and tax withholding rights awarded on 02/18/02 at the option price of $67.29 per share. 11,500 shares are currently exercisable, with an additional 11,500 shares becoming exercisable on 02/18/04. The options will expire 10 years from date of grant. |
14. 23,000 option shares with cashless exercise and tax withholding rights awarded on 02/17/03 at the option price of $49.60 per share. Shares will become exercisable as follows: 50% on 02/17/04; and 50% on 02/17/05. The options will expire 10 years from date of grant. |
Remarks: |
Robert T. Kenagy | 02/05/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |