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SEC Filings

AC IMMUNE SA filed this Form 6-K on 03/17/2017
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AC Immune SA, Ecublens



13.Shareholders rights and options


The following table presents information on the allocation of shares and options to executive officers, directors and employees in accordance with Article 959c, paragraph 2, number 11 Swiss Code of Obligations (CO) as at 31 December 2016:


   Shares     Options  
in CHF thousands  Number    CHF     Number    CHF  
Issued to executive officers and directors   5,562,500    74,426     656,750   1,188
Issued to employees   843,225    11,282     343,625   285
Total   6,405,725    85,708     906,125   1,473


Share values are based on the Company’s share price of $12.98 (CHF 13.38) and option values are based on fair market value using the Black-Scholes Morten Model as at 31 December 2016.


The table below presents beneficial ownership of executive officers and directors, including affiliated entities, if applicable, in accordance with Article 663c CO as at 31 December 2016:


Beneficial ownership of executive officers and directors  Number of Shares    Number of Options  
   2016    2016  
Andrea Pfeifer, Ph.D., Chief Executive Officer and Director   2,908,500    168,000 
George Pavey, Chief Financial Officer (former)   -    94,250 
Andreas Muhs, Ph.D., Chief Scientific Officer   581,750    316,750 
Jean-Fabien Monin, Chief Administrative Officer   265,000    62,500 
Martin Velasco, Chairman and Director   964,500    10,250 
Detlev Riesner, Ph.D., Director   764,000    5,000 
Friedrich von Bohlen und Halbach, Director   78,750    - 
Peter Bollmann, Director   -    - 
Thomas Graney, Director   -    - 


14.Post balance sheet events


There are no significant events after the balance sheet date which would impact the book value of the assets or liabilities that should be disclosed here.


Statutory Financial Statements11

© AC Immune 2015