| UNILEVER PLC |
/S/ T E LOVELL By T E LOVELL SECRETARY |
| EXHIBIT NUMBER | EXHIBIT DESCRIPTION |
| 99 | Notice to London Stock Exchange |
Exhibit 1: | Stock Exchange announcement dated 8 February 2017 entitled ‘Director/PDMR shareholding’ |
| Exhibit 2: | Stock Exchange announcement dated 10 February 2017 entitled ‘Director/PDMR shareholding’ |
Exhibit 3: | Stock Exchange announcement dated 15 February 2017 entitled ‘Director/PDMR shareholding’ |
Exhibit 4: | Stock Exchange announcement dated 17 February 2017 entitled ‘Director/PDMR shareholding’ |
Exhibit 5: | Stock Exchange announcement dated 28 February 2017 entitled ‘Annual Financial Report’ |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Keith Weed | |
2 | Reason for the notification | ||
a) | Position/status | Chief Marketing & Communications Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | ● 8 shares (Dividend equivalents earned on shares) ● 7 shares (Dividend equivalents earned on shares) ● 8 shares (Dividend equivalents earned on shares) ● 7 shares (Dividend equivalents earned on shares) ● 8 shares (Dividend equivalents earned on shares) ● 7 shares (Dividend equivalents earned on shares) ● 7 shares (Dividend equivalents earned on shares) ● 8 shares (Dividend equivalents earned on shares) ● 7 shares (Dividend equivalents earned on shares) ● 7 shares (Dividend equivalents earned on shares) ● 8 shares (Dividend equivalents earned on shares) ● 7 shares (Dividend equivalents earned on shares) ● 9 shares (Dividend equivalents earned on shares) ● 9 shares (Dividend equivalents earned on shares) ● 13 shares (Dividend equivalents earned on shares) ● 13 shares (Dividend equivalents earned on shares) ● 13 shares (Dividend equivalents earned on shares) ● 9 shares (Dividend equivalents earned on shares) ● 8 shares (Dividend equivalents earned on shares) ● 11 shares (Dividend equivalents earned on shares) ● 5 shares (Dividend equivalents earned on shares) ● 5 shares (Dividend equivalents earned on shares) ● 5 shares (Dividend equivalents earned on shares) ● 5 shares (Dividend equivalents earned on shares) ● 4 shares (Dividend equivalents earned on shares) ● 4 shares (Dividend equivalents earned on shares) ● 5 shares (Dividend equivalents earned on shares) ● 5 shares (Dividend equivalents earned on shares) ● 4 shares (Dividend equivalents earned on shares) ● 5 shares (Dividend equivalents earned on shares) ● 4 shares (Dividend equivalents earned on shares) ● 6 shares (Dividend equivalents earned on shares) ● 7 shares (Dividend equivalents earned on shares) ● Exercised 1,374 options originally granted on 4 July 2006 under the Unilever PLC 2005 Sharesave plan at an option price of 11.71p per Unilever PLC ordinary share of 3 1/9p each on Maturity on 1 October 2011. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
(i) 2389.57p | 8 | ||
(ii) 2604.30p | 7 | ||
(iii) 2609.70p | 8 | ||
(iv) 2680.90p | 7 | ||
(v) 2676.74p | 8 | ||
(vi) 2907.80p | 7 | ||
(vii) 2808.00p | 7 | ||
(viii) 2553.70p | 8 | ||
(ix) 2788.43p | 7 | ||
(x) 3114.08p | 7 | ||
(xi) 3182.64p | 8 | ||
(xii) 3522.00p | 7 | ||
(xiii) 3153.34p | 9 | ||
(xiv) 1956.82p | 9 | ||
(xv) 1900.85p | 13 | ||
(xvi) 2017.90p | 13 | ||
(xvii) 2149.88p | 13 | ||
(xviii) 2364.74p | 9 | ||
(xix) 2764.70p | 8 | ||
(xx) 2388.71p | 11 | ||
(xxi) 2687.78p | 5 | ||
(xxii) 2609.00p | 5 | ||
(xxiii) 2681.34p | 5 | ||
(xxiv) 2676.74p | 5 | ||
(xxv) 2907.80p | 4 | ||
(xxvi) 2832.40p | 4 | ||
(xxvii) 2554.80p | 5 | ||
(xxviii) 2786.25p | 5 | ||
(xxix) 3114.00p | 4 | ||
(xxx) 3182.00p | 5 | ||
(xxxi) 3528.49p | 4 | ||
(xxxii) 3159.00p | 6 | ||
(xxxiii) 3111.00p | 7 | ||
(xxxiv) 1171.00p | 1,374 | ||
e) | Aggregated information - Volume - Total | 1,612 £22,399.42 | |
f) | Date of the transaction | (i) 2014-01-10 (ii) 2014-04-10 (iii) 2014-07-11 (iv) 2014-09-11 (v) 2014-12-11 (vi) 2015-04-13 (vii) 2015-06-12 (viii) 2015-09-11 (ix) 2015-12-11 (x) 2016-03-11 (xi) 2016-06-13 (xii) 2016-09-13 (xiii) 2016-12-13 (xiv) 2010-04-13 (xv) 2011-01-10 (xvi) 2011-10-11 (xvii) 2012-07-10 (xviii) 2013-01-10 (xix) 2013-07-10 (xx) 2014-01-10 (xxi) 2014-06-11 (xxii) 2014-07-11 (xxiii) 2014-09-11 (xxiv) 2014-12-11 (xxv) 2015-04-13 (xxvi) 2015-06-11 (xxvii) 2015-09-11 (xxviii) 2015-12-11 (xxix) 2016-03-11 (xxx) 2016-06-13 (xxxi) 2016-09-13 (xxxii) 2016-12-13 (xxxiii) 2016-12-07 (xxxiv) 2011-10-03 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Graeme Pitkethly | |
2 | Reason for the notification | ||
a) | Position/status | Chief Financial Officer (Director) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Purchase of shares under the Unilever PLC Share Incentive Plan. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3309.1161p | 4 | ||
e) | Aggregated information - Volume - Total | 4 £132.36 | |
f) | Date of the transaction | 2017-02-08 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | David Blanchard | |
2 | Reason for the notification | ||
a) | Position/status | Chief R&D Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 4,508 | ||
e) | Aggregated information - Volume - Total | 4,508 £148,718.92 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Marc Engel | |
2 | Reason for the notification | ||
a) | Position/status | Chief Supply Chain Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
3299.0p | 4,508 | ||
e) | Aggregated information - Volume - Total | 4,508 £148,718.92 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Kevin Havelock | |
2 | Reason for the notification | ||
a) | Position/status | President, Refreshment (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 4,508 | ||
e) | Aggregated information - Volume - Total | 4,508 £148,718.92 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Alan Jope | |
2 | Reason for the notification | ||
a) | Position/status | President, Personal Care (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC American Depositary Receipts each representing 1 ordinary 3 1/9 pence share CUSIP904767704 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of PLC ADRs were awarded with conditional GSIP rights pursuant to the Unilever North America Omnibus Equity Compensation Plan. | |
| c) | Currency | USD – United States Dollar | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 41.83 | 5,370 | ||
e) | Aggregated information - Volume - Total | 5,370 $224,627.10 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | New York Stock Exchange – XNYS | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Kees Kruythoff | |
2 | Reason for the notification | ||
a) | Position/status | President, North America (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional GSIP rights pursuant to the Unilever North American Omnibus Equity Compensation Plan. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 5,185 | ||
e) | Aggregated information - Volume - Total | 5,185 £171,053.15 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Leena Nair | |
2 | Reason for the notification | ||
a) | Position/status | Chief HR Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 5,185 | ||
e) | Aggregated information - Volume - Total | 5,185 £171,053.15 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Nitin Paranjpe | |
2 | Reason for the notification | ||
a) | Position/status | President, Home Care (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 5,861 | ||
e) | Aggregated information - Volume - Total | 5,861 £193,354.39 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Graeme Pitkethly | |
2 | Reason for the notification | ||
a) | Position/status | Chief Financial Officer (Director) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 14,171 | ||
e) | Aggregated information - Volume - Total | 14,171 £467,501.29 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Paul Polman | |
2 | Reason for the notification | ||
a) | Position/status | Chief Executive Officer (Director) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 30,532 | ||
e) | Aggregated information - Volume - Total | 30,532 £1,007,250.68 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Amanda Sourry-Knox | |
2 | Reason for the notification | ||
a) | Position/status | President, Foods (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC American Depositary Receipts each representing 1 ordinary 3 1/9 pence share CUSIP904767704 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of PLC ADRs were awarded with conditional GSIP rights pursuant to the Unilever North America Omnibus Equity Compensation Plan. | |
| c) | Currency | USD – United States Dollar | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 41.83 | 5,146 | ||
e) | Aggregated information - Volume - Total | 5,146 $215,257.18 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | New York Stock Exchange – XNYS | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Ritva Sotamaa | |
2 | Reason for the notification | ||
a) | Position/status | Chief Legal Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 5,185 | ||
e) | Aggregated information - Volume - Total | 5,185 £171,053.15 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Keith Weed | |
2 | Reason for the notification | ||
a) | Position/status | Chief Marketng & Communications Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 4,508 | ||
e) | Aggregated information - Volume - Total | 4,508 £148,718.92 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Jan Zijderveld | |
2 | Reason for the notification | ||
a) | Position/status | President, Europe (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Executive Directors and PDMRs receive performance-related Unilever N.V. (NV) and Unilever PLC (PLC) shares in a 50/50 mix. Prior to vesting, Executive Directors and PDMRs are able to choose whether they receive any shares that are due to vest in PLC or NV shares or a 50/50 mix. The following number of shares of 3 1/9p each were awarded with conditional rights pursuant to the Unilever Global Share Incentive Plan 2007. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3299.0p | 4,508 | ||
e) | Aggregated information - Volume - Total | 4,508 £148,718.92 | |
f) | Date of the transaction | 2017-02-13 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | David Blanchard | |
2 | Reason for the notification | ||
a) | Position/status | Chief R&D Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Blanchard elected to receive only PLC shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (NV shares) is converted into the currency of the chosen share type (PLC shares), divided by the closing share price on vesting and this number of PLC shares is added to the original number of PLC shares that vested. The original awards of NV shares are cancelled and reduced to nil. Mr Blanchard received 9,560 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Mr Blanchard received 2,407 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 9,560 | ||
| 3285.5p | 2,407 | ||
e) | Aggregated information - Volume - Total | 11,967 £393,175.79 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Marc Engel | |
2 | Reason for the notification | ||
a) | Position/status | Chief Supply Chain Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Engel elected to receive only NV shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (PLC shares) is converted into the currency of the chosen share type (NV shares), divided by the closing share price on vesting and this number of NV shares is added to the original number of NV shares that vested. The original award of 4,263 PLC shares and the dividend reinvestment are cancelled and reduced to nil. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Mr Engel received 2,630 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 84% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 2,630 | ||
e) | Aggregated information - Volume - Total | 2,630 £86,408.65 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Kevin Havelock | |
2 | Reason for the notification | ||
a) | Position/status | President, Refreshment (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Havelock elected to receive only PLC shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (NV shares) is converted into the currency of the chosen share type (PLC shares), divided by the closing share price on vesting and this number of PLC shares is added to the original number of PLC shares that vested. The original awards of NV shares are cancelled and reduced to nil. Mr Havelock received 9,560 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Mr Havelock received 1,949 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 9,560 | ||
| 3285.5p | 1,949 | ||
e) | Aggregated information - Volume - Total | 11,509 £378,128.20 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Alan Jope | |
2 | Reason for the notification | ||
a) | Position/status | President, Personal Care (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC American Depositary Receipts each representing 1 ordinary 3 1/9 pence share CUSIP904767704 | |
b) | Nature of the transaction | i) Unilever PLC American Depositary Receipts (PLC ADRs) each representing 1 Ordinary 3 1/9 pence share have vested based on the February 2013 GSIP conditional rights awards pursuant to the Unilever North America 2002 Omnibus Equity Compensation Plan. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Jope elected to receive only New York NV shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (PLC shares) is converted into the currency of the chosen share type (NV shares), divided by the closing share price on vesting and this number of NV shares is added to the original number of NV shares that vested. The original award of 9,263 PLC ADRs and the dividend reinvestment are cancelled and reduced to nil. ii) Unilever PLC American Depositary Receipts (PLC ADRs) each representing 1 Ordinary 3 1/9 pence share have vested based on the February 2013 MCIP conditional rights awards pursuant to the Unilever North America 2002 Omnibus Equity Compensation Plan. Mr Jope received 3,108 PLC ADRs after using a performance factor of 70% and including dividend reinvestment. | |
| c) | Currency | USD – United States Dollar | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 42.17 | 3,108 | ||
e) | Aggregated information - Volume - Total | 3,108 $131,064.36 | |
f) | Date of the transaction | 2017-02-15 | |
g) | Place of the transaction | New York Stock Exchange – XNYS | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Kees Kruythoff | |
2 | Reason for the notification | ||
a) | Position/status | President, North America (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 GSIP conditional rights awards pursuant to the Unilever North America 2002 Omnibus Equity Compensation Plan. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Kruythoff elected to receive only NV shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (PLC shares) is converted into the currency of the chosen share type (NV shares), divided by the closing share price on vesting and this number of NV shares is added to the original number of NV shares that vested. The original award of 4,662 PLC shares and the dividend reinvestment are cancelled and reduced to nil. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 MCIP conditional rights awards pursuant to the Unilever North America 2002 Omnibus Equity Compensation Plan.. Mr Kruythoff received 1,733 PLC shares after using a performance factor of 70% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 1,733 | ||
e) | Aggregated information - Volume - Total | 1,733 £56,937.72 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Leena Nair | |
2 | Reason for the notification | ||
a) | Position/status | Chief HR Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Ms Nair received 1,647 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 84% and including dividend reinvestment. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Ms Nair received 1,396 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 84% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 1,647 | ||
| 3285.5p | 1,396 | ||
e) | Aggregated information - Volume - Total | 3,043 £99,977.77 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Nitin Paranjpe | |
2 | Reason for the notification | ||
a) | Position/status | President, Home Care (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Paranjpe elected to receive only NV shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (PLC shares) is converted into the currency of the chosen share type (NV shares), divided by the closing share price on vesting and this number of NV shares is added to the original number of NV shares that vested. The original award of 6,216 PLC shares and the dividend reinvestment are cancelled and reduced to nil. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Mr Paranjpe received 1,450 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 1,450 | ||
e) | Aggregated information - Volume - Total | 1,450 £47,639.75 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Graeme Pitkethly | |
2 | Reason for the notification | ||
a) | Position/status | Chief Financial Officer (Director) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Mr Pitkethly received 3,952 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 84% and including dividend reinvestment. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Mr Pitkethly received 1,983 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 84% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 3,952 | ||
| 3285.5p | 1,983 | ||
e) | Aggregated information - Volume - Total | 5,935 £194,994.43 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Paul Polman | |
2 | Reason for the notification | ||
a) | Position/status | Chief Executive Officer (Director) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Polman elected to receive only NV shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (PLC shares) is converted into the currency of the chosen share type (NV shares), divided by the closing share price on vesting and this number of NV shares is added to the original number of NV shares that vested. The original award of 43,700 PLC shares and the dividend reinvestment are cancelled and reduced to nil. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 0.0p | 0 | ||
e) | Aggregated information - Volume - Total | 0 £0.00 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Judith Amanda Sourry Knox | |
2 | Reason for the notification | ||
a) | Position/status | President, Foods (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC American Depositary Receipts each representing 1 ordinary 3 1/9 pence share CUSIP904767704 | |
b) | Nature of the transaction | i) Unilever PLC American Depositary Receipts (PLC ADRs) each representing 1 Ordinary 3 1/9 pence share have vested based on the February 2013 GSIP conditional rights awards pursuant to the Unilever North America 2002 Omnibus Equity Compensation Plan. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Ms Sourry-Knox elected to receive only New York NV shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (PLC shares) is converted into the currency of the chosen share type (NV shares), divided by the closing share price on vesting and this number of NV shares is added to the original number of NV shares that vested. The original award of 4,328 PLC ADRs and the dividend reinvestment are cancelled and reduced to nil. ii) Unilever PLC American Depositary Receipts (PLC ADRs) each representing 1 Ordinary 3 1/9 pence share have vested based on the February 2013 MCIP conditional rights awards pursuant to the Unilever North America 2002 Omnibus Equity Compensation Plan. Ms Sourry-Knox received 4,212 PLC ADRs after using a performance factor of 84% and including dividend reinvestment. | |
| c) | Currency | USD – United States Dollar | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 42.17 | 4,212 | ||
e) | Aggregated information - Volume - Total | 4,212 $177,620.04 | |
f) | Date of the transaction | 2017-02-15 | |
g) | Place of the transaction | New York Stock Exchange – XNYS | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Ritva Sotamaa | |
2 | Reason for the notification | ||
a) | Position/status | Chief Legal Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Ms Sotamaa received 4,802 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Ms Sotamaa received 1,816 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 4,802 | ||
| 3285.5p | 1,816 | ||
e) | Aggregated information - Volume - Total | 6,618 £217,434.39 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Keith Weed | |
2 | Reason for the notification | ||
a) | Position/status | Chief Marketng & Communications Officer (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Weed elected to receive only PLC shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (NV shares) is converted into the currency of the chosen share type (PLC shares), divided by the closing share price on vesting and this number of PLC shares is added to the original number of PLC shares that vested. The original awards of NV shares are cancelled and reduced to nil. Mr Weed received 9,560 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Mr Weed received 5,208 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 9,560 | ||
| 3285.5p | 5,208 | ||
e) | Aggregated information - Volume - Total | 14,768 £485,202.64 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
1 | Details of the person discharging managerial responsibilities / person closely associated | ||
a) | Name | Jan Zijderveld | |
2 | Reason for the notification | ||
a) | Position/status | President, Europe (a member of the Unilever Leadership Excecutive) | |
b) | Initial notification /Amendment | Initial Notification | |
3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
a) | Name | Unilever PLC | |
b) | LEI | 549300MKFYEKVRWML317 | |
4 | Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted | ||
a) | Description of the financial instrument, type of instrument Identification code | Unilever PLC ordinary 3 1/9 pence shares GB00B10RZP78 | |
b) | Nature of the transaction | i) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Global Share Incentive Plan 2007. Share choice was offered which allows ULE members to choose, just before vesting, whether they want to receive net shares in the share types originally granted (Unilever N.V. (NV) and Unilever PLC (PLC)) or one share type only (NV or PLC). Mr Zijderveld elected to receive only NV shares. To calculate the effect of ‘share choice’ on vesting, the total value for each award (both NV and PLC share types) is calculated using the performance factor and the closing share price on vesting, including dividend reinvestment accrued. The value of the share type not chosen (PLC shares) is converted into the currency of the chosen share type (NV shares), divided by the closing share price on vesting and this number of NV shares is added to the original number of NV shares that vested. The original award of 7,770 PLC shares and the dividend reinvestment are cancelled and reduced to nil. ii) Unilever PLC Ordinary shares of 3 1/9p each have vested based on the February 2013 conditional rights awards pursuant to the Unilever Management Co-Investment Plan. Mr Zijderveld received 3,121 Unilever PLC Ordinary shares of 3 1/9p each after using a performance factor of 70% and including dividend reinvestment. | |
| c) | Currency | GBP – British Pound | |
d) | Price(s) and volume(s) | Price(s) | Volume(s) |
| 3285.5p | 3,121 | ||
e) | Aggregated information - Volume - Total | 3,121 £102,540.46 | |
f) | Date of the transaction | 2017-02-14 | |
g) | Place of the transaction | London Stock Exchange - XLON | |
| DESCRIPTION OF RISK | WHAT WE ARE DOING TO MANAGE THE RISK |
BRAND PREFERENCE As a branded goods business, Unilever’s success depends on the value and relevance of our brands and products to consumers around the world and on our ability to innovate and remain competitive. Consumer tastes, preferences and behaviours are constantly changing and Unilever’s ability to anticipate and respond to these changes and to continue to differentiate our brands and products is vital to our business. We are dependent on creating innovative products that continue to meet the needs of our consumers. If we are unable to innovate effectively, Unilever’s sales or margins could be materially adversely affected. | We continuously monitor external market trends and collate consumer, customer and shopper insight in order to develop category and brand strategies. Our strategy focuses on investing in markets and segments which we identify as attractive because we have already built, or are confident that we can build, competitive advantage. Our Research and Development function actively searches for ways in which to translate the trends in consumer preference and taste into new technologies for incorporation into future products. Our innovation management process deploys tools, technologies and resources to convert category strategies into projects and category plans, develop products and relevant brand communication and successfully roll out new products to our consumers. |
PORTFOLIO MANAGEMENT Unilever’s strategic investment choices will affect the long-term growth and profits of our business. Unilever’s growth and profitability are determined by our portfolio of categories, geographies and channels and how these evolve over time. If Unilever does not make optimal strategic investment decisions then opportunities for growth and improved margin could be missed. | Our Compass strategy and our business plans are designed to ensure that resources are prioritised towards those categories and markets having the greatest long-term potential for Unilever. Our acquisition activity is driven by our portfolio strategy with a clear, defined evaluation process. |
SUSTAINABILITY The success of our business depends on finding sustainable solutions to support long-term growth. Unilever’s Vision to accelerate growth in the business while reducing our environmental footprint and increasing our positive social impact will require more sustainable ways of doing business. In a world where resources are scarce and demand for them continues to increase it is critical that we succeed in reducing our resource consumption and converting to sustainably sourced supplies. In doing this we are dependent on the efforts of partners and various certification bodies. We are also committed to improving health and well-being and enhancing livelihoods around the world so Unilever and our communities grow successfully together. There can be no assurance that sustainable business solutions will be developed and failure to do so could limit Unilever’s growth and profit potential and damage our corporate reputation. | The Unilever Sustainable Living Plan sets clear long-term commitments to improve health and well-being, reduce environmental impact and enhance livelihoods. Underpinning these are targets in areas such as hygiene, nutrition, sustainable sourcing, fairness in the workplace, opportunities for women and inclusive business as well as greenhouse gas emissions, water and waste. These targets and more sustainable ways of operating are being integrated into Unilever’s day-to-day business through initiatives such as efficient packaging design, waste reduction and recycling and converting to use of renewable energy. Progress towards the Unilever Sustainable Living Plan is monitored by the Unilever Leadership Executive and the Boards. The Unilever Sustainable Living Plan Council, comprising six external specialists in sustainability, guides and critiques the development of our strategy. |
CLIMATE CHANGE Climate changes and governmental actions to reduce such changes may disrupt our operations and/or reduce consumer demand for our products. Climate changes are occurring around the globe which may impact our business in various ways. They could lead to water shortages which would reduce demand for those of our products that require a significant amount of water during consumer use. They could also lead to an increase in raw material prices or reduced availability. Governments may take action to reduce climate change such as the introduction of a carbon tax which could impact our business through higher costs or reduced flexibility of operations. Climate change could result therefore in making products less affordable or less available for our consumers resulting in reduced growth and profitability. | As part of our Unilever Sustainable Living Plan we monitor climate change and are responding by developing operations and products with reduced environmental impact. We seek to develop products that will require less water during consumer use. We aim to minimise our impact on climate change through committing to emission reduction targets and have developed a roadmap to be carbon positive by 2030. We monitor trends in raw material availability and pricing, and proactively reformulate our products where appropriate. We monitor governmental developments around actions to combat climate change and act to minimise the impact on our operations. |
CUSTOMER RELATIONSHIPS Successful customer relationships are vital to our business and continued growth. Maintaining strong relationships with our existing customers and building relationships with new customers who serve changing shopper habits are necessary to ensure our brands are well presented to our consumers and available for purchase at all times. The strength of our customer relationships also affects our ability to obtain pricing and competitive trade terms. Failure to maintain strong relationships with customers could negatively impact our terms of business with affected customers and reduce the availability of our products to consumers. | We build and maintain trading relationships across a broad spectrum of channels ranging from centrally managed multinational customers through to small traders accessed via distributors in many developing countries. We identify changing shopper habits and build relationships with new customers, such as those serving the e-commerce channel. We develop joint business plans with our key customers that include detailed investment plans and customer service objectives and we regularly monitor progress. We have developed capabilities for customer sales and outlet design which enable us to find new ways to improve customer performance and enhance our customer relationships. We invest in technology to optimise order and stock management processes for our distributive trade customers. |
TALENT AND ORGANISATION A skilled workforce and agile organisation are essential for the continued success of our business. Our ability to attract, develop, organise and retain the right number of appropriately qualified people is critical if we are to compete and grow effectively. This is especially true in our key emerging markets where there can be a high level of competition for a limited talent pool. The loss of management or other key personnel or the inability to identify, attract and retain qualified personnel could make it difficult to manage the business and could adversely affect operations and financial results. | Resource committees have been established and implemented throughout our business. These committees have responsibility for identifying future skills and capability needs, developing career paths and identifying the key talent and leaders of the future. We have an integrated management development process which includes regular performance reviews underpinned by a common set of leadership behaviours, skills and competencies. We have targeted programmes to attract and retain top talent and we actively monitor our performance in retaining talent within Unilever. We regularly review our ways of working and organisation structures to ensure that we drive speed and simplicity through our business to remain agile and responsive to market place trends. |
SUPPLY CHAIN Our business depends on purchasing materials, efficient manufacturing and the timely distribution of products to our customers. Our supply chain network is exposed to potentially adverse events such as physical disruptions, environmental and industrial accidents or bankruptcy of a key supplier which could impact our ability to deliver orders to our customers. The cost of our products can be significantly affected by the cost of the underlying commodities and materials from which they are made. Fluctuations in these costs cannot always be passed on to the consumer through pricing. | We have contingency plans designed to enable us to secure alternative key material supplies at short notice, to transfer or share production between manufacturing sites and to use substitute materials in our product formulations and recipes. These contingency plans also extend to an ability to intervene directly to support a key supplier should it for any reason find itself in difficulty or be at risk of negatively affecting a Unilever product. We have policies and procedures designed to ensure the health and safety of our employees and the products in our facilities, and to deal with major incidents including business continuity and disaster recovery. Commodity price risk is actively managed through forward buying of traded commodities and other hedging mechanisms. Trends are monitored and modelled regularly and integrated into our forecasting process. |
SAFE AND HIGH QUALITY PRODUCTS The quality and safety of our products are of paramount importance for our brands and our reputation. The risk that raw materials are accidentally or maliciously contaminated throughout the supply chain or that other product defects occur due to human error, equipment failure or other factors cannot be excluded. | Our product quality processes and controls are comprehensive, from product design to customer shelf. They are verified annually and regularly monitored through performance indicators that drive continuous improvement activities. Our key suppliers are externally certified and the quality of material received is regularly monitored to ensure that it meets the rigorous quality standards that our products require. In the event of an incident relating to the safety of our consumers or the quality of our products, incident management teams are activated in the affected markets under the direction of our product quality, science and communications experts, to ensure timely and effective market place action. |
SYSTEMS AND INFORMATION Unilever’s operations are increasingly dependent on IT systems and the management of information. Increasing digital interactions with customers, suppliers and consumers place ever greater emphasis on the need for secure and reliable IT systems and infrastructure and careful management of the information that is in our possession. Disruption of our IT systems could inhibit our business operations in a number of ways, including disruption to sales, production and cash flows, ultimately impacting our results. There is also a threat from unauthorised access and misuse of sensitive information. Unilever’s information systems could be subject to unauthorised access or the mistaken disclosure of information which disrupts Unilever’s business and/or leads to loss of assets. | We have policies covering the protection of both business and personal information, as well as the use of IT systems and applications by our employees. Our employees are trained to understand these requirements. We also have a set of IT security standards and closely monitor their operation to protect our systems and information. We maintain a global system for the control and reporting of access to our critical IT systems. This is supported by an annual programme of testing of access controls. Hardware that runs and manages core operating data is fully backed up with separate contingency systems to provide real time back-up operations should they ever be required. We have standardised ways of hosting information on our public websites and have systems in place to monitor compliance with appropriate privacy laws and regulations, and with our own policies. |
BUSINESS TRANSFORMATION Successful execution of business transformation projects is key to delivering their intended business benefits and avoiding disruption to other business activities. Unilever is continually engaged in major change projects, including acquisitions, disposals and organisational transformation, to drive continuous improvement in our business and to strengthen our portfolio and capabilities. Failure to execute such transactions or change projects successfully could result in under-delivery of the expected benefits. Furthermore, disruption may be caused in other parts of the business. | All acquisitions, disposals and global restructuring projects are sponsored by a member of the Unilever Leadership Executive. Regular progress updates are provided to the Unilever Leadership Executive. Sound project disciplines are used in all acquisitions, disposals and organisational transformation projects and these projects are resourced by dedicated and appropriately qualified personnel. Unilever also monitors the volume of change programmes under way in an effort to stagger the impact on current operations and to ensure minimal disruption. |
ECONOMIC AND POLITICAL INSTABILITY Unilever operates around the globe and is exposed to economic and political instability that may reduce consumer demand for our products, disrupt sales operations and/or impact the profitability of our operations. Adverse economic conditions may affect one or more countries within a region, or may extend globally. Government actions such as foreign exchange or price controls can impact on the growth and profitability of our local operations. In 2016, more than half of Unilever’s turnover came from emerging markets which can offer greater growth opportunities but also expose Unilever to related economic and political volatility. | The breadth of Unilever’s portfolio and our geographic reach help to mitigate our exposure to any particular localised risk. Our flexible business model allows us to adapt our portfolio and respond quickly to develop new offerings that suit consumers’ and customers’ changing needs during economic downturns. We regularly update our forecast of business results and cash flows and, where necessary, rebalance investment priorities. We believe that many years of exposure to emerging markets have given us experience of operating and developing our business successfully during periods of economic and political volatility. |
TREASURY AND PENSIONS Unilever is exposed to a variety of external financial risks in relation to Treasury and Pensions. The relative values of currencies can fluctuate widely and could have a significant impact on business results. Further, because Unilever consolidates its financial statements in euros it is subject to exchange risks associated with the translation of the underlying net assets and earnings of its foreign subsidiaries. We are also subject to the imposition of exchange controls by individual countries which could limit our ability to import materials paid in foreign currency or to remit dividends to the parent company. Unilever may face liquidity risk, ie difficulty in meeting its obligations, associated with its financial liabilities. A material and sustained shortfall in our cash flow could undermine Unilever’s credit rating, impair investor confidence and also restrict Unilever’s ability to raise funds. We are exposed to market interest rate fluctuations on our floating rate debt. Increases in benchmark interest rates could increase the interest cost of our floating rate debt and increase the cost of future borrowings. In times of financial market volatility, we are also potentially exposed to counter-party risks with banks, suppliers and customers. Certain businesses have defined benefit pension plans, most now closed to new employees, which are exposed to movements in interest rates, fluctuating values of underlying investments and increased life expectancy. Changes in any or all of these inputs could potentially increase the cost to Unilever of funding the schemes and therefore have an adverse impact on profitability and cash flow. | Currency exposures are managed within prescribed limits and by the use of forward foreign exchange contracts. Further, operating companies borrow in local currency except where inhibited by local regulations, lack of local liquidity or local market conditions. We also hedge some of our exposures through the use of foreign currency borrowing or forward exchange contracts. Our interest rate management approach aims to achieve an optimal balance between fixed and floating rate interest exposures on expected net debt. We seek to manage our liquidity requirements by maintaining access to global debt markets through short-term and long-term debt programmes. In addition, we have high committed credit facilities for general corporate purposes. Group treasury regularly monitors exposure to our banks, tightening counter-party limits where appropriate. Unilever actively manages its banking exposures on a daily basis. We regularly assess and monitor counter-party risk in our customers and take appropriate action to manage our exposures. Our pension investment standards require us to invest across a range of equities, bonds, property, alternative assets and cash such that the failure of any single investment will not have a material impact on the overall value of assets. The majority of our assets, including those held in our ‘pooled’ investment vehicle, Univest, are managed by external fund managers and are regularly monitored by pension trustees and central pensions and investment teams. Further information on financial instruments and capital and treasury risk management is included in note 16 on pages 115 to 120. |
ETHICAL Acting in an ethical manner, consistent with the expectations of customers, consumers and other stakeholders, is essential for the protection of the reputation of Unilever and its brands. Unilever’s brands and reputation are valuable assets and the way in which we operate, contribute to society and engage with the world around us is always under scrutiny both internally and externally. Despite the commitment of Unilever to ethical business and the steps we take to adhere to this commitment, there remains a risk that activities or events cause us to fall short of our desired standard, resulting in damage to Unilever’s corporate reputation and business results. | Our Code of Business Principles and our Code Policies govern the behaviour of our employees, suppliers, distributors and other third parties who work with us. Our processes for identifying and resolving breaches of our Code of Business Principles and our Code Policies are clearly defined and regularly communicated throughout Unilever. Data relating to such breaches is reviewed by the Unilever Leadership Executive and by relevant Board Committees and helps to determine the allocation of resources for future policy development, process improvement, training and awareness initiatives. |
LEGAL AND REGULATORY Compliance with laws and regulations is an essential part of Unilever’s business operations. Unilever is subject to national and regional laws and regulations in such diverse areas as product safety, product claims, trademarks, copyright, patents, competition, employee health and safety, the environment, corporate governance, listing and disclosure, employment and taxes. Failure to comply with laws and regulations could expose Unilever to civil and/or criminal actions leading to damages, fines and criminal sanctions against us and/or our employees with possible consequences for our corporate reputation. Changes to laws and regulations could have a material impact on the cost of doing business. Tax, in particular, is a complex area where laws and their interpretation are changing regularly, leading to the risk of unexpected tax exposures. International tax reform remains a key focus of attention with the OECD’s Base Erosion & Profit Shifting project and further potential tax reform in the EU and the United States. | Unilever is committed to complying with the laws and regulations of the countries in which we operate. In specialist areas the relevant teams at global, regional or local levels are responsible for setting detailed standards and ensuring that all employees are aware of and comply with regulations and laws specific and relevant to their roles. Our legal and regulatory specialists are heavily involved in monitoring and reviewing our practices to provide reasonable assurance that we remain aware of and in line with all relevant laws and legal obligations. Our Global Tax Principles provide overarching governance and we have a Tax Risk Framework in place which sets out the controls established to assess and monitor tax risk for direct and indirect taxes. We monitor proposed changes in taxation legislation and ensure these are taken into account when we consider our future business plans. |
| Related party balances | € million 2016 | € million 2015 |
| Trading and other balances due from joint ventures | 115 | 116 |
| Trading and other balances due from/(to) associates | - | - |
| Name | Function |
Marijn Dekkers Ann Fudge Paul Polman Graeme Pitkethly Nils Andersen Laura Cha Vittorio Colao Louise Fresco Judith Hartmann Mary Ma Strive Masiyiwa Youngme Moon John Rishton Feike Sijbesma | Chairman Vice-Chairman and Senior Independent Director Chief Executive Officer Chief Financial Officer Non-Executive Director Non-Executive Director Non-Executive Director Non-Executive Director Non-Executive Director Non-Executive Director Non-Executive Director Non-Executive Director Non-Executive Director Non-Executive Director |
