FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/01/2024 |
3. Issuer Name and Ticker or Trading Symbol
WHIRLPOOL CORP /DE/ [ WHR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 5,933.655(1) | D | |
Common Stock | 72.453 | I | 401(k) Stock Fund |
Common Stock | 354.517 | I | Executive Deferred Savings Plan II |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (Right to Buy) | (2) | 02/16/2025 | Common Stock | 260 | $213.23 | D | |
Employee Stock Options (Right to Buy) | (3) | 02/20/2027 | Common Stock | 643 | $177.19 | D | |
Employee Stock Options (Right to Buy) | (4) | 02/19/2028 | Common Stock | 880 | $172.7 | D | |
Employee Stock Options (Right to Buy) | (5) | 02/14/2032 | Common Stock | 1,741 | $196.62 | D | |
Employee Stock Options (Right to Buy) | (6) | 02/20/2033 | Common Stock | 6,241 | $145 | D | |
Restricted Stock Units | (7) | (7) | Common Stock | 1,000 | (7) | D | |
Restricted Stock Units | (8) | (8) | Common Stock | 167 | (8) | D | |
Restricted Stock Units | (9) | (9) | Common Stock | 2,000 | (9) | D | |
Restricted Stock Units | (10) | (10) | Common Stock | 14,307 | (10) | D |
Explanation of Responses: |
1. Aggregate beneficial holdings include shares acquired through dividend reinvestment plan. |
2. The stock options became exercisable in three substantially equal annual installments beginning on February 16, 2016. |
3. The stock options became exercisable in three substantially equal annual installments beginning on February 20, 2018 |
4. The stock options became exercisable in three substantially equal annual installments beginning on February 19, 2019. |
5. The stock options became exercisable in three substantially equal annual installments beginning on March 1, 2023. |
6. The stock options will become exercisable in three substantially equal annual installments beginning on March 1, 2024. |
7. The 2,000 restricted stock units granted on February 17, 2/20 have one remaining vest date, August 1, 2024, for an amount of 1,000 restricted stock units, which will vest and convert one-for-one to shares on that date. |
8. The 502 restricted stock units granted on February 15, 2021, have one remaining vest date, March 1, 2024, for an amount of 167 restricted stock units, which will vest and convert one-for-one to shares on that date. |
9. The 4,000 restricted stock units granted on August 1, 2021 have one remaining vest date, August 1, 2025 for an amount of 2,000 restricted stock units, which will vest and convert one-for-one to shares on that date. |
10. The 14,307 restricted stock units granted on May 1, 2023 will vest in substantially equal installments and convert one-for-one to shares on August 1, 2025 and August 1, 2027. |
Remarks: |
/s/ Bridget K. Quinn, Attorney-In-Fact | 01/08/2024 | |
** 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 5 (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. |