Section 15 a of the German Securities Trade Act (Wertpapierhandelsgesetz) obligates the members of the Supervisory Board and of the Executive Board as well as other persons who carry out executive-level managerial functions at Sartorius AG to report the purchase or sale of Sartorius shares. In addition to purchase and sales transactions involving Sartorius shares, all securities transactions in relation to Sartorius shares must also be reported. In addition, this applies to securities transactions of spouses, common-law spouses, dependent children and other relatives who have lived for at least one year with the member of the Supervisory Board or Executive Board or the person with executive-level managerial functions in the same household at the time the securities transaction took place.
To date, Sartorius AG has not received any reports of this nature.
Equity Holdings of the Supervisory Board and the Executive Board
Pursuant to Number 6.6, Paragraph 2, of the German Corporate Governance Codex, companies are required to provide information on the equity holdings of Supervisory Board and Executive Board members. Equity holdings of individual members of the Supervisory Board and the Executive Board must be specified if these holdings directly or indirectly amount to more than 1% of the shares issued by the company. If the total equity holdings of all Supervisory Board and Executive Board members exceed 1% of the shares issued by the company, they must be reported separately according to the Supervisory Board’s and the Executive Board’s holdings.
There are no reportable equity holdings pursuant to Number 6.6 of the German Corporate Governance Codex.