Shareholders Executive Holdings

Executive Holdings

Information about Credit Suisse Securities held by the members of the Executive Board and the 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.

Share holdings by individual

Board of Directors

December 31 (shares) 1 2018 2017
Urs Rohner  268,250
189,956
Iris Bohnet 61,311
49,451
Andreas Gottschling
19,210
5,432
Alexander Gut 37,707
24,152
Michael Klein 2
6,713

Andreas N. Koopmann 131,231 117,900
Sereina Macia 49,827
37,231
Kai S. Nargolwala 299,872
280,883
Ana Paula Pessoa 2 7,672
Joaquin J. Ribeiro 37,705
24,150
Severin Schwan 129,957
116,402
John Tiner 244,317
216,645
Alexandre Zeller 79,763
6,208
Total 1,373,535
1,068,410 3

1 Includes Group shares that are subject to a blocking period of up to four years; includes shareholdings of immediate family members.
2 Michael Klein and Ana Paula Pessoa were newly elected at the 2018 AGM.
3 Excludes 196,766 shares held by Richard E. Thornburgh as of December 31, 2017, who did not stand for re-election to the Board as of April 27, 2018.

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.

Units by individual

Executive Board

December 31, 2018

Individual

Number of owned shares1

Number of unvested awards (at maximum opportunity)2

Number of owned shares and unvested awards (at maximum opportunity)

Value (CHF) of unvested awards at grant date (at maximum opportunity)

Value (CHF) of unvested awards at year end (at fair value)3

Tidjane 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 awards 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.
3 Includes the value of unvested LTI awards, which was 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.

Units by individual

December 31, 2017

Individual

Number of owned shares1

Number of unvested awards (at maximum opportunity)2

Number of owned shares and unvested awards

Value (CHF) of unvested awards at grant date (at maximum opportunity)

Value of unvested awards at year end (at fair value)3

Tidjane Thiam

1,967

1,132,835

1,134,802

20,298,771

13,941,708

James L. Amine 382,106
1,098,488
1,480,594
18,110,327
11,694,777

Pierre-Olivier Bouée

38,204

439,832

478,036

7,200,011

5,345,214

Romeo Cerutti

199,630

410,871

610,501

6,945,908

4,389,711

Brian Chin 234,328
1,098,757
1,333,085
17,798,557
16,800,518
Peter Goerke 21,953
282,112
304,065
4,750,031
2,985,514
Thomas Gottstein
354,275
354,275
6,009,654
3,639,767

Iqbal Khan

25,135

379,846

404,981

6,412,346

4,016,413

David R. Mathers 52,672
704,359
757,031
11,723,886
7,726,820
Joachim Oechslin

386,390
386,390
6,627,551
4,027,112

Helman Sitohang

394,737

826,572

1,221,309

13,516,027

9,278,836

Lara Warner

2,036

325,449

327,485

5,501,327

3,445,577

Total

1,352,768

7,439,786

8,792,554

124,894,396

87,291,967

1 Includes shares that were initially granted as deferred compensation and have vested.
2 Includes unvested shares originating from LTI awards 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. We believe this is a more appropriate approach than our prior practice of applying the target performance level (i.e., 80% of maximum opportunity) in calculating the number of unvested shares. As such, the table for 2016 has been updated.
3 Includes the value of unvested LTI awards, which was determined based on fair value.