Executive holdings
Information about Credit Suisse securities held by members of the Board of Directors and the Executive Board.
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Board of Directors
The below tables capture the holdings of Credit Suisse Group stock, options and other equity based instruments (collectively "CSG Securities") as of year-end by the members of the Board of Directors. The numbers do include CSG Securities granted as part of compensation as well as those that have not been granted as part of compensation.
Any dealings in CSG Securities are published promptly in line with the SIX Directive on the Disclosure of Management Transactions on the SIX website as well as on the Credit Suisse Group website.
December 31 (shares)1 2019 2018 Urs Rohner 298,416 268,250 Iris Bohnet 74,916 61,311 Christian Gellerstad2 51,716 – Andreas Gottschling 51,391 19,210 Alexander Gut 51,455 37,707 Michael Klein 22,369 6,713 Shan Li2 7,178 – Seraina Macia 63,432 49,827 Kai S. Nargolwala 324,088 299,872 Ana Paula Pessoa 24,758 7,672 Joaquin J. Ribeiro 53,253 37,705 Severin Schwan 145,505 129,957 John Tiner 278,188 244,317 Total 1,446,665 1,162,5413 1 Includes Group shares that are subject to a blocking period of up to four years; includesshareholdings of immediate family members.
2 Christian Gellerstad and Shan Li were newly elected at the 2019 AGM.
3 Excludes 131,231 shares held by Andreas Koopmann, who did not stand for re-electionto the Board as of April 26, 2019, and 79,763 shares held by Alexandre Zeller, who stepped down from the Board as of February 28, 2019.
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Executive Board
The below tables capture the holdings of Credit Suisse Group stock, options and other equity based instruments (collectively "CSG Securities") as of year-end by the members of the Executive Board. The numbers do include CSG Securities granted as part of compensation as well as those that have not been granted as part of compensation.
Any dealings in CSG Securities are published promptly in line with the SIX Directive on the Disclosure of Management Transactions on the SIX website as well as on the Credit Suisse Group website.
December 31, 2019
Units by individual
Individual Number of owned
shares1Number of
unvested awards2Number of
owned shares
and unvested awardsValue (CHF) of
unvested awards
at grant date3Value (CHF) of
unvested awards
at year end
(at fair value)4Tidjane Thiam 66,422
1,303,823
1,370,245
19,084,599
10,833,091
Romeo Cerutti
323,165
458,513
781,678
6,750,770
3,820,259
Brian Chin
494,030
1,430,886
1,924,916
20,368,149
11,843,258
Thomas P. Gottstein
150,214
672,361
822,575
9,574,478
5,530,279
Lydie Hudson
26,175
295,386
321,561
3,739,373
2,832,024
David R. Mathers
84,360
1,029,891
1,114,251
13,509,668
9,392,954
David Miller
–
734,280
734,280
10,240,437
8,888,164
Antoinette Poschung
123,318
139,024
262,342
1,693,270
1,302,361
Helman Sitohang
264,737
1,007,352
1,272,089
14,683,925
8,198,365
James B. Walker
100,153
317,330
417,483
4,181,205
3,834,492
Lara J. Warner
–
786,568
786,568
11,361,535
6,138,554
Philipp Wehle
21,540
364,059
385,599
4,735,987
3,862,390
Total 1,654,114
8,539,473
10,193,587
119,923,396
76,476,192
1Includes shares that were initially granted as deferred compensation and have vested.
2Includes unvested shares originating from LTI opportunities calculated on the basis of maximum opportunity for awards that have not reached the end of their three-year performance period, given that the actual achievement level and associated number of unvested shares cannot be determined until the end of the performance period. For LTI awards that have reached the end of their three-year performance period, the number of unvested shares reflects the actual number of shares earned based on achievement of the performance target levels.
3Determined based on the number of unvested awards multiplied by the share price at grant.
4 Includes the value of unvested LTI opportunities. For LTI awards that have reached the end of their three-year performance period, the value is based on the actual number of shares eligible to vest. For LTI opportunities that have not reached the end of their three-year performance period, this is determined based on the number of shares at fair value at the time of grant, multiplied by the share price at the end of the year.
December 31, 2018
Units by individual
Individual Number
of owned
shares1Number of
unvested awards2Number of
owned shares
and unvested awardsValue (CHF) of
unvested awards
at grant date3Value (CHF) of
unvested awards
at year end
(at fair value)4Tidjane Thiam 64,302 990,706 1,055,008 16,430,736 6,923,084 James L. Amine 426,726 1,046,190 1,472,916 17,300,812 7,049,362 Pierre-Olivier Bouée 74,079 512,085 586,164 8,287,028 4,019,900 Romeo Cerutti 269,373 389,685 659,058 6,423,655 2,734,410 Brian Chin 431,274 1,137,731 1,569,005 18,494,683 8,600,260 Peter Goerke 21,953 342,324 364,277 5,655,877 2,438,237 Thomas Gottstein 118,976 402,042 521,018 6,752,150 2,831,436 Iqbal Khan 70,060 519,389 589,449 8,757,970 3,530,037 David R. Mathers 84,360 793,632 877,992 13,180,647 5,973,132 Joachim Oechslin 61,092 406,852 467,944 6,771,566 2,779,441 Helman Sitohang 264,737 822,060 1,086,797 13,497,946 5,857,016 Lara Warner 2,036 469,641 471,677 7,989,249 3,102,330 Total 1,888,968 7,832,337 9,721,305 129,542,319 55,838,645 1 Includes shares that were initially granted as deferred compensation and have vested.
2 Includes unvested shares originating from LTI opportunities calculated on the basis of maximum opportunity for awards that have not reached the end of their three-year performance period, given that the actual achievement level and associated number of unvested shares cannot be determined until the end of the performance period. For LTI awards that have reached the end of their three-year performance period, the number of unvested shares reflects the actual number of shares earned based on achievement of the performance target levels.
3 Determined based on the number of unvested awards multiplied by the share price at grant.
4 Includes the value of unvested LTI opportunities. For LTI awards that have reached the end of their three-year performance period, the value is based on the actual number of shares eligible to vest. For LTI opportunities that have not reached the end of their three-year performance period, this is determined based on the number of shares at fair value at the time of grant, multiplied by the share price at the end of the year.
