Statement of Changes in Beneficial Ownership (4)
May 12 2021 - 05:41PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Peters James W |
2. Issuer Name and Ticker or Trading Symbol
WHIRLPOOL CORP /DE/
[
WHR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EXEC VICE PRESIDENT AND CFO |
(Last)
(First)
(Middle)
WHIRLPOOL CORPORATION, 2000 N. M-63 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/10/2021 |
(Street)
BENTON HARBOR, MI 49022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common | 4/28/2021 | | G |
V
| 320 | D | $0 | 18995 | D | |
Common | 4/28/2021 | | G |
V
| 45 | D | $0 | 18950 | D | |
Common | 4/28/2021 | | G |
V
| 145 | D | $0 | 18805 | D | |
Common | 5/10/2021 | | M | | 9000 | A | $172.70 | 27805 | D | |
Common | 5/10/2021 | | S | | 7399 | D | $252.18 (1) | 20406 | D | |
Common | 5/10/2021 | | S | | 1501 | D | $253.55 (2) | 18905 | D | |
Common | 5/10/2021 | | S | | 100 | D | $255 (3) | 18805 | D | |
Common Stock | | | | | | | | 4031.595 | I | 401(k) Stock Fund |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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) | $172.7 | 5/10/2021 | | M | | | 9000 | 2/19/2019 | 2/19/2028 | Common Stock | 9000.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The sale of 7,399 shares of stock at prices ranging from $252.00 to $252.86. The reporting person undertakes to provide 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 price within the ranges set forth. |
(2) | The sale of 1,501 shares of stock at prices ranging from $253.51 to $253.59. The reporting person undertakes to provide 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 price within the ranges set forth. |
(3) | The sale of 100 shares of stock at $255.00. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Peters James W WHIRLPOOL CORPORATION 2000 N. M-63 BENTON HARBOR, MI 49022 |
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| EXEC VICE PRESIDENT AND CFO |
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Signatures
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/s/ Bridget K. Quinn, Attorney-in-Fact | | 5/12/2021 |
**Signature of Reporting Person | Date |
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