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 | 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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