Under § 15a of the German Securities Trading Act (WpHG), the Members of the Management and Supervisory Boards of MorphoSys AG, as well as persons with a “close relationship” to such members, are obligated to report trading in MorphoSys stock to the German Federal Financial Supervisory Authority (BaFin). In addition to purchase and sales transactions involving MorphoSys stock, securities transactions relating to MorphoSys shares (e.g. purchase or sale of options options or convertible bonds for MorphoSys stocks) must also be reported. The granting or exercise of options based on employment agreements or as a component of compensation are not subject to reporting requirements. All transactions have to be published unless the total value of these tradings executed by such person within one calendar year does not exceed EUR 5,000.
Notes:
Participants in the MorphoSys stock option and/or convertible bonds programs who choose to “exercise and sell” receive the difference between the so-called exercise price (price determined at the time of issuing the options) and the Xetra closing price of the MorphoSys stock on the day of exercise, as a taxable income.
All reported transactions of MorphoSys AG are published via Thomson Reuters ONE.
Declared Security Transactions
Date | Name and Function | Transaction Type, Number & Security | Date, Place, Price & Transaction Volume |
|---|
| Jun 13, 2012 | Jens Holstein, CFO | Purchase of 1,000 MorphoSys shares | June 08, 2012 XETRA, EUR 17.00 EUR 17,000.00 |
| Jun 13, 2012 | Jens Holstein, CFO | Purchase of 500 MorphoSys shares | June 07, 2012 XETRA, EUR 17.10 EUR 8,550.00 |
Holdings of the Boards as of September 30, 2012
| | Shares | Stock Options | Convertible Bonds | Performance Shares |
|---|
Management Board | | | | |
Dr. Simon E. Moroney | 419,885 | 191,445 | 58,800 | 36,652 |
Mr. Jens Holstein | 6,500 | 0 | 0 | 25,104 |
Dr. Arndt Schottelius | 2,000 | 90,000 | 33,000 | 25,104 |
Dr. Marlies Sproll | 7,105 | 102,867 | 33,000 | 25,104 |
Supervisory Board | | | | |
Dr. Gerald Möller (Chairman) | 7,500 | 0 | 0 | 0 |
Dr. Walter Blättler | 2,019 | 0 | 0 | 0 |
Dr. Daniel Camus | 0 | 0 | 0 | 0 |
Dr. Marc Cluzel | 0 | 0 | 0 | 0 |
| Karin Eastham | 0 | 0 | 0 | 0 |
Dr. Geoffrey N. Vernon | 0 | 0 | 0 | 0 |
For a detailed description of the stock option schemes and convertible bonds programs for the employees of MorphoSys Group, we refer to the latest Consolidated Financial Statements.
