10 Information according to article 663c of the Swiss Code of Obligations
10.1 Significant shareholders
The Company has knowledge of the following significant shareholders with shareholdings in excess of 3% of the issued share capital at December 31: 1
| 2015 | 2016 |
Chase Nominees Ltd., London (UK) | 13.5 % | 13.4 % |
ING Groep N.V., Amsterdam (NL) | 7.4 % | 7.4 % |
BlackRock Inc., New York (US) | 5.0 % | 5.0 % |
APG Algemene Pensioen Groep N.V., Amsterdam (NL) | 5.0 % | 5.0 % |
UBS Fund Management (Switzerland) AG, Basel (CH) | 5.0 % | 5.0 % |
Massachusetts Mutual Life Insurance Company, Springfield MA (US) | 4.6 % | 4.9% |
Credit Suisse Funds AG, Zürich (CH) | <3.0 % | 3.3% |
Norges Bank (the Central Bank of Norway), Oslo (NO) | <3.0 % | 3.0 % |
Pictet Funds SA, Geneva (CH) | 3.0 % | 3.0 % |
1Percentages are based on the most recent shareholder notifications to SIX, adjusted to the actual share capital at the end of the reporting period.
10.2 Share and option ownership of the Board of Directors and Management Board
For details of the employee participation plans please refer to note 10.4 of the consolidated financial statements.
10.2.1 Share and option ownership of the Board of Directors
| Year | Employee share option plans1 | Total options | Total shares | |
Number |
| 2010 | 2011 |
|
|
Strike price in CHF |
| 70.00 | 69.00 |
|
|
Expiring in |
| 20162 | 2017 |
|
|
|
|
|
|
|
|
Rolf Classon (Chairman) | 2015 | 1,700 | 2,442 | 4,142 | 6,045 |
2016 | 1,700 | 2,442 | 4,142 | 6,748 | |
Heinrich Fischer (Vice Chairman) | 2015 | – | – | – | 15,457 |
2016 | – | – | – | 15,896 | |
Dr. Oliver S. Fetzer | 2015 | – | – | – | 1,623 |
2016 | – | – | – | 1,975 | |
Lars Holmqvist | 2015 | – | – | – | – |
2016 | – | – | – | 352 | |
Dr. Karen Hübscher | 2015 | – | – | – | 1,219 |
2016 | – | – | – | 1,571 | |
Dr. Christa Kreuzburg | 2015 | – | – | – | 849 |
2016 | – | – | – | 1,201 | |
Gérard Vaillant | 2015 | 850 | 1,221 | 2,071 | 1,623 |
2016 | – | – | – | 1,975 | |
|
|
|
|
|
|
Balance at December 31, 2015 |
| 2,550 | 3,663 | 6,213 | 26,816 |
Balance at December 31, 2016 |
| 1,700 | 2,442 | 4,142 | 29,718 |
1All options are vested and exercisable.
2Extended due to insider trading restrictions in 2016
10.2.2 Share and option ownership of the Management Board
Number | Year | Total options | Total shares |
Dr. David Martyr (CEO) | 2015 | – | 16,383 |
2016 | – | 16,037 | |
Dr. Rudolf Eugster (CFO) | 2015 | – | 13,219 |
2016 | – | 9,088 | |
Ulrich Kanter | 2015 | – | 2,897 |
2016 | – | 4,878 | |
Dr. Achim von Leoprechting | 2015 | – | 4,516 |
2016 | – | 5,974 | |
Dr. Klaus Lun | 2015 | – | 5,543 |
2016 | – | 5,728 | |
Markus Schmid | 2015 | – | 6,311 |
2016 | – | 5,703 | |
Dr. Stefan Traeger | 2015 | – | 5,514 |
2016 | – | 6,389 | |
Andreas Wilhelm | 2015 | – | 5,772 |
2016 | – | 5,256 | |
|
|
|
|
Balance at December 31, 2015 |
| – | 60,155 |
Balance at December 31, 2016 |
| – | 59,053 |
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