ADR Information
Roche’s ADR (American Depositary Receipt) is listed on OTCQX International Premier under the symbol RHHBY. Traded in U.S. Dollars, one (1) Roche ADR represents one quarter (¼) of one underlying non-voting equity security (Genussschein, abbreviated NES). Roche’s non-voting equity security and the Roche voting share are both listed on SIX Swiss Exchange.
| Symbol | Security | No. of securities | Listing/Trading | CUSIP/ISIN |
|---|---|---|---|---|
| RHHBY | U.S. security (ADR) | Note a) | OTCQX | 771195104 |
| ROG | Non-voting equity security (NES) | 702,562,700 | SIX Swiss Exchange | CH0012032048 |
| RO | Voting share | 160,000,000 | SIX Swiss Exchange | CH0012032113 |
Note a) The number of ADRs in issue varies depending on demand and conversion in and out of the underlying non-voting equity security (NES).
The Roche ADR facility was initiated in 1992 when one ADR represented one hundredth (1/100) of one non-voting equity security. The current ADR ratio is a result of several splits and ratio changes.
| Record date | Effective date | ADR split | ADR to NES ratio |
|---|---|---|---|
| 05 Jan 2009 | 09 Jan 2009 | 2 for 1 | 1 to ¼ |
| 21 Jan 2005 | 25 Jan 2005 | 2 for 1 | 1 to ½ |
| Note b) | 04 May 2001 | 1 for 1 | 1 to 1 |
| Prior to 04 May 2001 | - | - | 1 to 1/100 |
Note b) On 3 April 2001, the Board of Directors approved a 100 for 1 split of the non-voting equity security. This was followed by an opposite 1 for 100 change in the ADR to NES ratio. As a result, no new ADRs were distributed.
| Declared date | Record date | Pay date for ADR | Gross dividend ($) | Net dividend ($) Note c) |
|---|---|---|---|---|
| 06 Mar 2009 | 13 Mar 2009 | 28 Apr 2009 | 1.05414 | 0.88045 |
| 21 Feb 2008 | 06 Mar 2008 | 21 Apr 2008 | 1.12596 | 0.94531 |
| 23 Feb 2007 | 07 Mar 2007 | 20 Apr 2007 | 0.69035 | 0.57680 |
| 09 Feb 2006 | 01 Mar 2006 | 17 Apr 2006 | 0.47706 | 0.39375 |
| 17 Feb 2005 | 02 Mar 2005 | 15 Apr 2005 | 0.41860 | 0.34580 |
Note c) Dividends are subject to Swiss withholding tax of 35% at the time of initial payment. For ADR holders, the depositary bank performs a tax reclaim process with the Swiss tax authorities. The actual dividend tax paid depends on the specific tax status of the dividend recipient. For the amount listed in the net dividend column, a 15% tax rate has been assumed plus a dividend, reclaim and payment fee of $0.0235 per ADR. The tax reclaim process causes a difference in timing between the record date and the ADR pay date. Roche is considered a qualified foreign corporation for U.S. tax purposes. For further tax questions, please consult a tax advisor.
Other relevant information
In 2006, to facilitate expanded market access and secondary trading, the Roche ADR obtained a securities manual listing by Standard & Poor’s Standard Corporation Records.
Information about buying and selling the Roche ADR as well as information about dividend payments should be addressed to your bank or broker.
ADR depositary bank
J.P. Morgan Chase sponsors and administers the Roche ADR facility. The J.P. Morgan ADR shareholder services can be contacted as follows:
Toll free number: 1 800 990 1135
Hearing impaired: 1 866 700 1652
Outside the U.S.: +1 651 453 2128
Email: jpmorgan.adr@wellsfargo.com
Regular correspondence:
JPMorgan Chase & Co.
P.O. Box 64504
St. Paul, MN 55164-0504
USA
Delivery of ADR certificates and overnight mail:
JPMorgan Chase & Co.
161 N Concord Exchange
South St. Paul, MN 55075
Investor Relations North America
Questions about Roche, its business and products should be addressed to Investor Relations North America:
+1 973 562 2233
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