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11 Information according to article 663c of the Swiss Code of Obligations

 

11.1 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

 

2016

2017

Chase Nominees Ltd., London (UK)

13.4%

13.3%

NN Group N.V., Amsterdam (NL)

7.4%

7.3%

BlackRock Inc., New York (US)

5.0%

6.4%

Massachusetts Mutual Life Insurance Company, Springfield MA (US)

4.9%

4.9%

UBS Fund Management (Switzerland) AG, Basel (CH)

5.0%

4.9%

APG Algemene Pensioen Groep N.V., Amsterdam (NL)

5.0%

4.9%

Norges Bank (the Central Bank of Norway), Oslo (NO)

3.0%

3.0%

Pictet Funds SA, Geneva (CH)

3.0%

3.0%

Wellington Management Group LLP, Boston (US)

<3%

3.0%

Credit Suisse Funds AG, Zürich (CH)

3.3%

<3%

1Percentages are based on the most recent shareholder notifications to SIX, adjusted to the actual share capital at the end of the reporting period.

 

11.2 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.

 

11.2.1 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)

2016

 1,700 

 2,442 

4,142

 6,748 

2017

– 

– 

– 

 7,293 

Heinrich Fischer 

(Vice Chairman)

2016

– 

– 

– 

 15,896 

2017

– 

– 

– 

 16,237 

Dr. Oliver S. Fetzer

2016

– 

– 

– 

1,975 

2017

– 

– 

– 

 2,248 

Lars Holmqvist

2016

– 

– 

– 

 352 

2017

– 

– 

– 

 625 

Dr. Karen Hübscher

2016

– 

– 

– 

 1,571 

2017

– 

– 

– 

 625 

Dr. Christa Kreuzburg

2016

– 

– 

– 

 1,201 

2017

– 

– 

– 

 1,474 

Gérard Vaillant 

2016

– 

– 

– 

 1,975 

2017

– 

– 

– 

 2,248 

 

 

 

 

 

 

Balance at December 31, 2016

 

 1,700 

 2,442 

 4,142 

29,718

Balance at December 31, 2017

 

 – 

 – 

 – 

 30,750 

1All options are vested and exercisable. 2Extended due to insider trading restrictions in 2016

11.2.2 Share and option ownership of the Management Board

Number

Year

Total options

Total shares

Dr. David Martyr (CEO)

2016

 16,037 

2017

 21,930 

Dr. Rudolf Eugster (CFO)

2016

 9,088 

2017

 7,776 

Ulrich Kanter

2016

 4,878 

2017

 5,825 

Dr. Achim von Leoprechting

2016

 5,974 

2017

 5,943 

Dr. Klaus Lun

2016

 5,728 

2017

 5,512 

Erik Norström

(since December 2017)1

2016

 – 

2017

 130 

Markus Schmid

2016

 5,703 

2017

 5,199 

Dr. Stefan Traeger
(until March 2017)2

2016

 6,389 

2017

 – 

Andreas Wilhelm

2016

 5,256 

2017

 5,199 

 

 

 

 

Balance at December 31, 2016

 

 59,053 

Balance at December 31, 2017

 

 57,514 

1 Shares and share options in 2016 are not disclosed, because the member of the Board joined after year-end 2016.

2 Shares and share options in 2017 are not disclosed, because the member of the Board stepped down before year-end 2017.

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