10 Information according to article 663c of the Swiss Code of Obligations
10.1 Important shareholders
The Company has knowledge of the following important shareholders with shareholdings in excess of 3% of the issued share capital at December 31:
| 2013 | 2014 |
Chase Nominees Ltd., London (UK) | 13.5% | 13.5% |
ING Groep N.V., Amsterdam (NL) | 9.2% | 7.4% |
UBS Fund Management (Switzerland) AG, Basel (CH) | 5.1% | 5.1% |
APG Algemene Pensioen Groep N.V., Amsterdam (NL) | 3.3% | 5.0% |
Pictet Funds SA, Geneva (CH) | 5.0% | 5.0% |
Credit Suisse Asset Management Funds AG, Zurich (CH) | 3.2% | 3.2% |
Tecan Group Ltd., Männedorf (CH) | 3.2% | <3.0% |
Artisan Partners Limited Partnership, Milwaukee (US) | 3.1% | <3.0% |
Norges Bank (the Central Bank of Norway), Oslo (NO) | 3.1% | <3.0% |
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
Number | Year | Share plans1 | Other shares | Total shares | Employee share option plans2 | Total options | |||
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| 2008 | 2009 | 2010 | 2011 |
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Strike price in CHF |
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| 69.00 | 39.70 | 70.00 | 69.00 |
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Expiring in |
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| 2014 | 2015 | 2016 | 2017 |
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Rolf Classon | 2013 | 1,547 | 2,800 | 4,347 | – | – | 1,700 | 2,442 | 4,142 |
2014 | 1,673 | 3,608 | 5,281 | – | – | 1,700 | 2,442 | 4,142 | |
Heinrich Fischer | 2013 | 774 | 10,000 | 10,774 | 864 | 1,551 | 850 | 1,221 | 4,486 |
2014 | 1,358 | 10,000 | 11,358 | – | 1,551 | 850 | 1,221 | 3,622 | |
Dr. Oliver S. Fetzer | 2013 | 774 | – | 774 | – | – | – | – | – |
2014 | 370 | 871 | 1,241 | – | – | – | – | – | |
Dr. Karen Hübscher | 2013 | 370 | – | 370 | – | – | – | – | – |
2014 | 837 | – | 837 | – | – | – | – | – | |
Dr. Christa Kreuzburg | 2013 | – | – | – | – | – | – | – | – |
2014 | 467 | – | 467 | – | – | – | – | – | |
Gérard Vaillant | 2013 | 774 | – | 774 | 864 | – | 850 | 1,221 | 2,935 |
2014 | 1,241 | – | 1,241 | – | – | 850 | 1,221 | 2,071 | |
Erik Walldén | 2013 | 774 | – | 774 | – | – | – | – | – |
2014 | 837 | 404 | 1,241 | – | – | – | – | – | |
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Balance at |
| 5,013 | 12,800 | 17,813 | 1,728 | 1,551 | 3,400 | 4,884 | 11,563 |
Balance at |
| 6,783 | 14,883 | 21,666 | – | 1,551 | 3,400 | 4,884 | 9,835 |
1 According to 'Corporate Employee Portfolio'. Members are entitled to vote, but not all shares are vested.
2 According to 'Corporate Employee Portfolio'. All options are vested and exercisable.
10.2.2 Share and option ownership of the Management Board
Number | Year | Share | Other | Total | Employee share option plans2 | Total | ||
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| 2008 | 2009 | 2010 |
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Strike price in CHF |
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| 69.00 | 39.70 | 70.00 |
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Expiring in |
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| 2014 | 2015 | 2016 |
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Dr. David Martyr (CEO) | 2013 | 7,143 | – | 7,143 | – | – | – | – |
2014 | 12,870 | – | 12,870 | – | – | – | – | |
Dr. Rudolf Eugster (CFO) | 2013 | 12,186 | – | 12,186 | 1,113 | 1,386 | 2,345 | 4,844 |
2014 | 11,812 | 401 | 12,213 | – | – | – | – | |
Ulrich Kanter | 2013 | – | – | – | – | – | – | – |
2014 | 875 | – | 875 | – | – | – | – | |
Dr. Achim von Leoprechting | 2013 | 584 | – | 584 | – | – | – | – |
2014 | 2,493 | – | 2,493 | – | – | – | – | |
Dr. Klaus Lun | 2013 | 1,517 | – | 1,517 | – | – | – | – |
2014 | 3,611 | – | 3,611 | – | – | – | – | |
Markus Schmid | 2013 | 6,127 | – | 6,127 | – | – | – | – |
2014 | 6,893 | – | 6,893 | – | – | – | – | |
Dr. Stefan Traeger | 2013 | 1,167 | – | 1,167 | – | – | – | – |
2014 | 3,458 | – | 3,458 | – | – | – | – | |
Andreas Wilhelm | 2013 | 5,697 | – | 5,697 | – | – | – | – |
2014 | 5,706 | – | 5,706 | – | – | – | – | |
Dr. Martin Brusdeilins | 2013 | 6,985 | – | 6,985 | – | – | – | – |
2014 | – | – | – | – | – | – | – | |
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Balance at |
| 41,406 | – | 41,406 | 1,113 | 1,386 | 2,345 | 4,844 |
Balance at |
| 47,718 | 401 | 48,119 | – | – | – | – |
1 According to 'Corporate Employee Portfolio'. Members are entitled to vote, but not all shares are vested.
2 According to 'Corporate Employee Portfolio'. All options are vested and exercisable.
3 Shares and share options in 2013 are not disclosed, because the member of the Board joined after year-end 2013.
4 Shares and share options in 2014 are not disclosed, because the member of the Board stepped down before year-end 2014.