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
| 31.12.2017 | 31.12.2018 |
Chase Nominees Ltd., London (UK) | 13.3% | 13.1% |
NN Group N.V., Amsterdam (NL) | 7.3% | 7.2% |
Massachusetts Mutual Life Insurance Company, Springfield MA (US) | 4.9% | 5.8% |
UBS Fund Management (Switzerland) AG, Basel (CH) | 4.9% | 4.9% |
BlackRock Inc., New York (US) | 6.4% | 4.9% |
APG Algemene Pensioen Groep N.V., Amsterdam (NL) | 4.9% | 4.9% |
T. Rowe Price Associates, Baltimore, MD (US) | <3.0% | 3.0% |
Norges Bank (the Central Bank of Norway), Oslo (NO) | 3.0% | 2.9% |
Pictet Funds SA, Geneva (CH) | 3.0% | 2.9% |
Wellington Management Group LLP, Boston (US) | 3.0% | <3.0% |
- Percentages 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 11.4 of the consolidated financial statements.
11.2.1 Share and option ownership of the Board of Directors
| Year | Total options | Total shares |
Number |
|
|
|
Dr. Lukas Braunschweiler (Chairman, since April 2018)1 | 2017 | – | – |
2018 | – | – | |
Rolf Classon (Chairman, until April 2018)2 | 2017 | – | 7,293 |
2018 | – | – | |
Heinrich Fischer (Vice Chairman) | 2017 | – | 16,237 |
2018 | – | 16,550 | |
Dr. Oliver S. Fetzer | 2017 | – | 2,248 |
2018 | – | 2,498 | |
Lars Holmqvist | 2017 | – | 625 |
2018 | – | 875 | |
Dr. Karen Hübscher | 2017 | – | 625 |
2018 | – | 875 | |
Dr. Christa Kreuzburg | 2017 | – | 1,474 |
2018 | – | 1,724 | |
Dr. Daniel R. Marshak | 2017 | – | – |
2018 | – | – | |
Gérard Vaillant (until April 2018)2 | 2017 | – | 2,248 |
2018 | – | – | |
|
|
|
|
Balance at December 31, 2017 |
| – | 30,750 |
Balance at December 31, 2018 |
| – | 22,522 |
- Shares and share options in 2017 are not disclosed, because the member of the Board joined after year-end 2017.
- Shares and share options in 2018 are not disclosed, because the member of the Board stepped down before year-end 2018.
11.2.2 Share and option ownership of the Management Board
| Year | Total options | Total shares |
Number |
|
|
|
Dr. David Martyr (CEO) | 2017 | – | 21,930 |
2018 | – | 20,268 | |
Dr. Rudolf Eugster (CFO) | 2017 | – | 7,776 |
2018 | – | 11,199 | |
Ulrich Kanter | 2017 | – | 5,825 |
2018 | – | 5,232 | |
Dr. Achim von Leoprechting | 2017 | – | 5,943 |
2018 | – | 5,393 | |
Dr. Klaus Lun | 2017 | – | 5,512 |
2018 | – | 5,053 | |
Erik Norström | 2017 | – | 130 |
2018 | – | 1,358 | |
Markus Schmid | 2017 | – | 5,199 |
2018 | – | 4,495 | |
Andreas Wilhelm | 2017 | – | 5,199 |
2018 | – | 4,495 | |
|
|
|
|
Balance at December 31, 2017 |
| – | 57,514 |
Balance at December 31, 2018 |
| – | 57,493 |
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