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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

EN DE