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User Manual: 1146
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Non-Confidential
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1
B#: 1146-11
Date: August 8, 2011
To: All Participants
Category: Dividends
From: International Services
Attention: Operations, Reorg & Dividend Managers, Partners & Cashiers
Subject: Tax Relief - Country: The Netherlands
Unilever N.V. CUSIP: 904784709
Record Date:08/12/2011 Payable Date:09/14/2011
EDS Cut-Off Date:08/25/2011 8.00 PM (EST)
Post Payable EDS Window:09/15/2011 thru 09/23/2011 8.00 PM (EST)
Participants can use DTC’s Elective Dividend System (EDS) function over the Participant Terminal
System (PTS) or Tax Relief option on the Participant Browser System (PBS) web site to certify all or a
portion of their position entitled to the applicable withholding tax rate. Participants are urged to
consult the PTS or PBS function TAXI or Tax Infoͽ respectively before certifying their elections over
PTS or PBS.
Important: Prior to certifying tax withholding elections, participants are urged to read, understand and
comply with the information in the Legal Conditions category found on TAXI or Tax Info in PTS or
PBS respectively.
Questions regarding this Important Notice may be directed to GlobeTax at (212) 747-9100.
Important Legal Information: The Depository Trust Company (“DTC”) does not represent or warrant the accuracy, adequacy,
timeliness, completeness or fitness for any particular purpose of the information contained in this communication, which is based in part
on information obtained from third parties and not independently verified by DTC and which is provided as is. The information contained
in this communication is not intended to be a substitute for obtaining tax advice from an appropriate professional advisor. In providing
this communication, DTC shall not be liable for (1) any loss resulting directly or indirectly from mistakes, errors, omissions, interruptions,
delays or defects in such communication, unless caused directly by gross negligence or willful misconduct on the part of DTC, and (2) any
special, consequential, exemplary, incidental or punitive damages.
To ensure compliance with Internal Revenue Service Circular 230, you are hereby notified that: (a) any discussion of federal tax issues
contained or referred to herein is not intended or written to be used, and cannot be used, for the purpose of avoiding penalties that may be
imposed under the Internal Revenue Code; and (b) as a matter of policy, DTC does not provide tax, legal or accounting advice and
accordingly, you should consult your own tax, legal and accounting advisor before engaging in any transaction.
1
UNILEVER N.V. has announced an interim
cash dividend in respect to the second quar-
ter of fiscal year 2011. Citibank acts as
Transfer Agent for the company’s New York
Registry Shares (“NYRS”) program.
Participants can use DTC’s Elective Dividend
System (EDS) function over the Participant
Terminal System (PTS) or TaxRelief option
on the Participant Browser System (PBS)
web site to certify all or a portion of their posi-
tion entitled to the applicable withholding tax
rate. Use of EDS will permit entitlement
amounts to be paid through DTC.
On NYRS Pay Date, all holders will receive
this dividend net of the full Netherland statu-
tory withholding tax of 15% with the possibil-
ity to reclaim as outlined in the below Eligibil-
ity Matrix:
DIVIDEND EVENT DETAILS
COUNTRY OF ISSUANCE NETHERLANDS
ISSUE UNILEVER N.V.
CUSIP# 904784709
TRANSFER AGENT CITIBANK
NYRS RECORD DATE August 12, 2011
NYRS PAY DATE September 14, 2011
NYRS GROSS DIVIDEND
RATE ON PAY DATE $0.3188
ORD GROSS DIVIDEND
RATE ON PAY DATE €0.2250
RATIO 1 ORD : 1 NYRS
STATUTORY WHT RATE 15%
ELIGIBILITY MATRIX
RATE DESCRIPTION RECLAIM
RATE ELIGIBLE RESIDENTS DOCUMENTATION REQUIRED
UNFAVORABLE - 15% 0% NON-TREATY COUNTRIES NONE
FAVORABLE - 10%
POST-PAY DATE 5%
CHINA, CZECH REPUBLIC, IN-
DIA, INDONESIA, KUWAIT, POR-
TUGAL, SLOVAKIA, SOUTH AF-
RICA, TAIWAN, VENEZUELA
IB 92 UNIVERSEEL
&
CLIENT LISTING
EXEMPT - 0%
POST PAY-DATE 15%
US ARTICLE 36—CHARITIES
under 501(a), 501(c)(3), 509(a)(1),
509(a)(2), 509(a)(3), 17-(b)
ESP SUBMISSION
OR
CLIENT LISTING
EXEMPT - 0%
POST-PAY DATE 15%
US ARTICLE 35 - PENSIONS and
IRAs under 401(a), 401(k), 457(b),
403(b), 408, 408(a), 501(a)
ESP SUBMISSION
OR
CLIENT LISTING
EXEMPT - 0%
RELIEF AT SOURCE 15%
US ARTICLE 35 - PENSIONS and
IRAs under 401(a), 401(k), 457
(b), 403(b), 408, 408(a), 501(a)
IRS 6166 FORM
(CURRENT TAX YEAR) OR
DUTCH QUALIFICATION LETTER
ESP SUBMISSION
(SELECT RELIEF AT SOURCE OPTION)
OR CLIENT LISTING
EXEMPT - 0%
(EU TAX EXEMPT)
POST-PAY DATE
LONG-FORM ONLY
15%
ALL EUROPEAN UNION (EU)
ENTITIES THAT ARE EXEMPT
FROM TAX IN THEIR COUNTRY
OF RESIDENCE
DIVIDEND TAX RETURN
“REFUND FOR FOREIGN CORPORA-
TIONS NOT SUBJECT TO ANY TAX ON
PROFITS”
2
CHARGES & DEADLINES
FILING METHOD BATCH PAYMENT
METHOD
TRANSFER
AGENT SER-
VICE CHARGE
MINIMUM SERVICE
CHARGE PER
BENEFICIAL OWNER
FINAL SUB-
MISSION
DEADLINE
(ALL TIMES
EST)
RELIEF AT
SOURCE
PAYMENT ON PAY
DATE EDS $0.0035 per
NYRS $0 AUGUST 25,
2011
QUICK RECLAIM PRIMARY LONG-FORM
BATCH EDS $0.005 per
NYRS $25 SEPTEMBER
23, 2011
LONG-FORM POST-EDS PROCESS;
ONGOING CHECK $0.005 per
NYRS $25 OCTOBER 30,
2016
DESCRIPTION OF VARIOUS DOCUMENTATION
DOCUMENT NAME DESCRIPTION ORIGINAL / COPY SIGNATURE REQUIRE-
MENT
IRS FORM 6166
ISSUED BY THE INTERNAL REVENUE SER-
VICE, STATING THE NAME AND TAX
PAYER IDENTIFICATION NUMBER OF THE
BENEFICIAL OWNER. IT MUST BE FOR
THE CURRENT TAX YEAR.
ORIGINAL
PREFERRED /
COPY ACCEPTED
IRS REPRESENTATIVE
IB 92 UNIVERSEEL
DUTCH TAX FORM REQUIRED FOR ANY
BENEFICIAL OWNER ATTEMPTING TO RE-
CLAIM THE 5% ENTITLEMENT; THIS FORM
MUST BE CERTIFIED BY THE BENEFICIAL
OWNER’S LOCAL TAX OFFICE.
ORIGINAL BENEFICIAL OWNER
DUTCH
QUALIFICATION
LETTER
QUALIFICATION CERTIFICATION BY THE
COMPETANT NEHTERLANDS TAX AU-
THORITIES, STATING THAT THE TRUST IN
QUESTION IS A U.S. RESIDENT TAX EX-
EMPT TRUST AS DESCRIBED IN ARTICLE
35, PARAGRAPH 1 OF THE TREATY
COPY
DUTCH TAX AUTHOR-
ITY
(BELASTINGDIENST)
DIVIDEND TAX RE-
TURN
“REFUND FOR FOREIGN CORPORATIONS
NOT SUBJECT TO ANY TAX ON PROFITS”
IS A FORM USED TO CLAIM EXEMPTINO
FOR EU PENSIONS AND EU CHARITABLE
ENTITIES. THIS FORM MUST BE CERTI-
FIED BY THE BENEFICIAL OWNER’S LO-
CAL TAX OFFICE.
ORIGINAL BENEFICIAL OWNER
CLIENT LISTING
A LISTING OF THE BENEFICIAL OWNERS
NAMES, TAXPAYER ID NUMBERS, NUM-
BER OF SHARES, AND ENTITY TYPE
(CHARITY OR PENSION)
ORIGINAL DTC PARTICIPANT
3
Citibank, now offers ESP powered by GlobeTax, a paperless withholding tax reclaim process,
for Exempt Organizations (qualified under Article 36 of the Tax Convention) and Exempt Pen-
sion Trusts (qualified under Article 35 of the Tax Convention) to participants holding NYRSs
and New York Shares.
These claims should be submitted through the following web site. (Requires a one-time regis-
tration)
https://www.globetaxesp.com
Please contact Mr. Brendan Jordan or Ms. Leann Maurice at 1-800-628-4646 or via email at
DutchESP@GLOBETAX.COM if you have any questions about this process.
CONTACT DETAILS
PRIMARY CONTACT LEANN MAURICE
DOMESTIC PHONE (U.S.) 1-800-628-4646
DOMESTIC FAX (U.S.) 1-800-633-4646
INTERNATIONAL PHONE 1-212-747-9100
INTERNATIONAL FAX 1-212-747-0029
EMAIL ADDRESS LEANN_MAURICE@GLOBETAX.COM
COMPANY CITIBANK / GLOBETAX
STREET ADDRESS 90 BROAD STREET 16TH FLOOR
CITY/STATE/ZIP NEW YORK, NY 10004
ADDITIONAL CONTACTS ALLISON LITTLE
BRENDAN JORDAN
PLEASE NOTE:
WHEN SUBMITTING RELIEF AT SOURCE CLAIMS THROUGH ESP,
YOU MUST SELECT THE RELIEF AT SOURCE OPTION
AND SUBMIT ALL APPROPRIATE DOCUMENTATION BY THE DEADLINE SET FORTH IN THIS
IMPORTANT NOTICE.
CLAIMS SUBMITTED BY ESP, SELECTING OPTIONS OTHER THAN RELIEF AT
SOURCE, WILL NOT BE CONSIDERED FOR RELIEF AT SOURCE.
4
FREQUENTLY ASKED QUESTIONS (FAQs)
GENERAL QUESTIONS
QUESTION ANSWER
DO I NEED TO SUBMIT A SPLIT-LETTER? NO. YOUR EDS ELECTIONS WILL BE USED IN PLACE
OF THE TRADITIONAL “SPLIT-LETTER.”
WILL I RECEIVE A DECLARATION IN LIEU OF DIVI-
DEND NOTE (“DLD” or “CERT”) FOR MY ARTICLE 35
OR ARTICLE 36 POSITIONS?
NO, GOING FORWARD, ALL DECLARATION IN LIEU
OF DIVIDEND NOTES WILL BE MAINTAINED BY THE
TRANSFER AGENT, TO BE RELEASED ONLY UPON
WRITTEN REQUEST BY THE PARTICIPANT.
AM I REQUIRED TO FILE THROUGH ESP?
NO, YOU MAY SUBMIT A TRADITIONAL CLAIM
THROUGH THE MAIL IF YOU CANNOT SUBMIT CLIENT
DATA THROUGH ESP. WE STRONGLY SUGGEST
LOGGING IN TO ESP TO DOWNLOAD THE TEMPLATE
PROVIDED WHEN PREPARING YOUR CLAIM, RE-
GARDLESS OF YOUR ULTIMATE SUBMISSION
METHOD.
IS THERE ANY CASE IN WHICH A U.S. RESIDENT
401(a), 401(K), 457(b), 403(b), IRA, ROTH IRA, EM-
PLOYEE PENSION PLANS OR SIMPLE RETIREMENT
ACCOUNT WOULD NOT QUALIFY FOR TREATY
BENEFITS UNDER ARTICLE 35 OF THE TREATY?
THESE ACCOUNT TYPES WILL NOT BE CONSIDERED
ELIGIBLE FOR TREATY BENEFITS UNDER ARTICLE 35
OF THE TREATY IN ANY TAXABLE YEAR IF LESS
THAN 70% OF THE TOTAL AMOUNT OF WITHDRAW-
ALS FROM SUCH U.S. TRUST DURING THAT YEAR IS
USED TO PROVIDE PENSION, RETIREMENT OR
OTHER EMPLOYEE BENEFITS AS MEANT IN ARTICLE
35 OF THE TREATY.
RELIEF AT SOURCE QUESTIONS
QUESTION ANSWER
DO I NEED TO PHYSICALLY SEND ANY DOCUMENTS
TO CITIBANK / GLOBETAX IN ORDER TO PARTICI-
PATE IN THE RELIEF AT SOURCE PROCESS?
YES, IN ADDITION TO SUBMISSION OF THE CLIENT
LISTING, YOU MUST PROVIDE AN IRS FORM 6166
(CURRENT TAX YEAR) OR DUTCH QUALIFICATION
LETTER FOR EACH BENEFICIAL OWNER.
WILL I BE PAID THROUGH DTC FOR CLAIMS SUB-
MITTED THROUGH THE RELIEF AT SOURCE PROC- YES.
MY CLIENT IS UNABLE TO PROVIDE THE REQUIRED
DOCUMENTATION BY THE RELIEF AT SOURCE
DEADLINE. MAY I STILL SUBMIT THE CLAIM
YES, YOU MAY EITHER PARTICIPATE IN THE QUICK
RECLAIM OR ON-GOING LONG-FORM PROCESSES,
WITHIN THE STATUTE OF LIMITATIONS.
ONCE I SUBMIT A RELIEF AT SOURCE CLAIM, HOW
LONG WILL IT TAKE TO BE PAID?
RELIEF AT SOURCE CLAIMS ARE PAID ON THE ADR
PAY DATE, THROUGH DTC.
QUICK RECLAIM QUESTIONS
QUESTION ANSWER
DO I NEED TO PHYSICALLY SEND ANY DOCUMENTS
TO CITIBANK / GLOBETAX IN ORDER TO PARTICI-
PATE IN THE QUICK RECLAIM PROCESS?
NO, YOU MUST ONLY PROVIDE THE BENEFICIAL
OWNER BREAKDOWN VIA ESP.
WILL I BE PAID THROUGH DTC FOR CLAIMS SUB-
MITTED THROUGH THE QUICK RECLAIM PROCESS? YES.
ONCE I SUBMIT A QUICK REFUND CLAIM VIA ESP,
HOW LONG WILL IT TAKE TO BE PAID?
WE ESTIMATE PAYMENT WITHIN APPROXIMATELY 8
WEEKS OF PAY DATE.
DOES THE QUICK RECLAIM PROCESS HAVE A
MINIMUM POSITION PER BENEFICIAL OWNER
REQUIREMENT?
ANY CLAIM FOR BENEFICIAL OWNERS HOLDING
LESS THAN 5,000 ADRS WILL BE AUTOMATICALLY
HELD AND SUBSEQUENTLY FILED VIA THE TRADI-
TIONAL LONG-FORM PROCESS.
5
LONG-FORM QUESTIONS
QUESTION ANSWER
HOW LONG DOES IT TAKE FOR PAYMENT ON LONG-
FORM CLAIMS? APPROXIMATELY 4-6 MONTHS.
DOES THE LONG-FORM PROCESS HAVE A MINIMUM
POSITION REQUIRMENT PER BENEFICIAL OWNER?
NO, ALL CLAIMS WILL BE PROCESSEED THOUGH
THERE IS A MINIMUM FEE OF $25 PER BENEFICIAL
OWNER.
WHAT WILL THE FEE BE IF A BENEFICIAL OWNER’S
CLAIM IS FOR LESS THAN $50?
CITIBANK / GLOBETAX IS WILLING TO WAIVE THE $25
MINIMUM ON AN EXCEPTIONAL BASIS IN FAVOR OF
A SPLIT OF THE RECLAIMED FUNDS OF 50/50 FOR
ANY BENEFICIAL OWNER RECLAIMING LESS THAN
WILL I BE PAID THROUGH DTC FOR CLAIMS SUB-
MITTED THROUGH THE LONG-FORM PROCESS? NO, YOU WILL BE PAID BY CHECK.
All Post-Electronic Reclaims filing Long-Form:
U.S. residents and non-U.S. residents who have missed the Relief at Source and Quick Reclaim Proc-
ess deadlines may file for a “long-form” refund by submitting a claim via either ESP or traditional meth-
ods to Citibank / GlobeTax prior to the expiry of the right to claim. Based on their county, that period
generally expires five (5) years from the end of the year in which the dividend was paid in the local mar-
ket. Claims received after the long form deadline will be filed on a best effort basis at the discretion of
Citibank / GlobeTax.
All tax information contained in this Important Notice is based on a good faith compila-
tion of information obtained from multiple sources. The information is subject to
change. Actual deadlines frequently vary from the statutory deadlines because of local
market conditions and advanced deadlines set by local agents. To mitigate risk it is
strongly advised that DTC Participants file their claims as soon as possible as the de-
positary and/or their agents will not be liable for claims filed less than six months before
the specified deadline. In the event that local market rules, whether implemented by a
local agent or a Tax Authority, conflict with the information provided in the important
notice, either prior to or after publication, the local market rules will prevail.
