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 2017 2016
Urs Rohner  189,956
197,861
Iris Bohnet 49,451
38,287
Andreas Gottschling
5,432

Alexander Gut 24,152
7,865
Andreas N. Koopmann 117,900
81,746
Sereina Macia 37,231
19,700
Kai S. Nargolwala 280,883
226,362
Joaquin J. Ribeiro 24,150
7,865
Severin Schwan 116,402
82,803
Richard E. Thornburgh 196,766
225,038
John Tiner 216,645 140,910
Alexandre Zeller 6,208
Total 1,265,176
1,028,437 2

1 Includes Group shares that are subject to a blocking period of up to four years; includes shareholdings of immediate family members.
2 Excludes 35,809 shares held by Jassim Bin Hadam J.J. Al Thani, 70,883 shares held by Noreen Doyle and 96,318 shares held by Jean Lanier as of December 31, 2016, who did not stand for re-election to the Board as of April 28, 2017.

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

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.

Units by individual

December 31, 2016

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

Tidjane Thiam

81,927

1,032,118

1,114,045

20,718,964

12,550,161

James L. Amine 262,706 1,025,658
1,288,364
18,884,166
11,868,592

Pierre-Olivier Bouée

3,614

372,907

376,521

7,096,724

4,436,540

Romeo Cerutti

286,688

323,908

610,596

6,013,140

3,593,974

Brian Chin 109,013 692,600
801,613
14,516,015 10,118,886
Peter Goerke 17,640 223,951
241,591
4,407,779
2,428,892
Thomas Gottstein 64,318 273,660
337,978
5,177,166
2,858,578
Iqbal Khan 40,282 295,044
335,326 5,516,095
3,182,133

David R. Mathers

70,573

555,791

626,364

10,122,747

6,251,319

Joachim Oechslin 32,345 277,331
309,676
5,359,233
2,949,735

Helman Sitohang

244,895

777,688

1,022,583

14,138,551

9,092,974

Lara Warner

92,043

302,939

394,982

5,752,577

3,368,217

Total

1,306,044

6,153,595

7,459,639

117,703,157

72,700,001

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.