Disclosures on Directors’ Dealings and Shareholdings in 2012
Members of the Management and Supervisory Boards of the general partner, members of the Supervisory Board of Fresenius SE & Co. KGaA, other executive officers, and persons closely related to them are required, pursuant to Section 15a of the German Securities Trading Act (WpHG), to disclose purchases and sales of Fresenius SE & Co. KGaA’s shares and financial instruments based on them (directors’ dealings). Directors’ dealings in 2012 are disclosed in the tables below.
Pursuant to number 6.6 of the Code, ownership of shares of the Company and financial instruments based on them must be disclosed by Management Board and Supervisory Board members if more than 1% of the shares issued by the Company are held either directly or indirectly. None of the Management or Supervisory Board members of the general partner or of the Supervisory Board of Fresenius SE & Co. KGaA directly or indirectly holds more than 1% of the shares issued by Fresenius or any related financial instruments.
DIRECTORS’ DEALINGS MANAGEMENT BOARD
2012 | Name | Quantity | Price in €1 | Total volume in € | Type of transaction |
---|---|---|---|---|---|
1 Price rounded to two decimals 2 Exercise of stock options on Fresenius shares of the stock option plan and sale of the shares (cash settlement) | |||||
November 26 | R. Baule | 21,930 | 28.65 | 628,358.89 | Stock option exercise2 |
September 5 | Dr. U. M. Schneider | 14,620 | 57.45 | 839,934.83 | Stock option exercise2 |
September 6 | Dr. U. M. Schneider | 14,620 | 58.90 | 861,045.88 | Stock option exercise2 |
September 13 | Dr. U. M. Schneider | 20,000 | 47.63 | 952,657.62 | Stock option exercise2 |
December 3 | Dr. U. M. Schneider | 25,800 | 34.95 | 901,714.46 | Stock option exercise2 |
The members of the Management and Supervisory Boards of Fresenius Management SE and the members of the Supervisory Board of Fresenius SE & Co. KGaA together hold 1.1% of the shares of Fresenius SE & Co. KGaA outstanding as of December 31, 2012, in the form of shares or related financial instruments and stock options under the Fresenius SE & Co. KGaA stock option plans. 0.6% are held by members of the Management Board of Fresenius Management SE, 0.5% by members of the Supervisory Board of Fresenius Management SE, and also 0.5% by members of the Supervisory Board of Fresenius SE & Co. KGaA. Due to the fact that some persons are members of both Supervisory Boards, the amount of shares or related financial instruments and stock options held by the Boards of Fresenius SE & Co. KGaA and Fresenius Management SE in total is smaller than the cumulative holdings of the three Boards as reported herein.
There were no notifications that the shareholdings of members of the Management and Supervisory Boards had reached, exceeded, or fallen below the reporting thresholds stipulated in the German Securities Trading Act.
DIRECTORS’ DEALINGS SUPERVISORY BOARD
2012 | Name | Quantity | Price in €1 | Total volume in € | Type of transaction |
---|---|---|---|---|---|
1 Price rounded to two decimals 2 Exercise of stock options on Fresenius shares of the stock option plan and sale of the shares (cash settlement) | |||||
June 14 | Dr. G. Krick | 15,000 | 65.59 | 983,811.00 | Stock option exercise2 |
July 5 | Dr. G. Krick | 10,000 | 68.63 | 686,348.85 | Stock option exercise2 |
September 11 | Dr. G. Krick | 10,000 | 73.58 | 735,844.62 | Stock option exercise2 |
November 27 | Dr. G. Krick | 8,860 | 72.79 | 644,875.41 | Stock option exercise2 |
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