US investors

Roche’s ADR (American Depositary Receipt) is on OTCQX International Premier under the symbol RHHBY. Traded in U.S. dollars, eight (8) ADRs represent one (1) 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 Trading/Listing 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 (1) ADR represented one hundredth (1/100) of one underlying non-voting equity security. The current ADR ratio is a result of several splits and ratio changes.

ADR splits and ratio changes
Record date Effective date ADR split ADR to NES ratio
20 Feb 2014 27 Feb 2014 2 for 1 8 to 1
05 Jan 2009 09 Jan 2009 2 for 1 4 to 1
21 Jan 2005 25 Jan 2005 2 for 1 2 to 1
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

ADR 5-year dividend history
Declared datec) Ex-dividend dated) Record datee) Pay date for ADR Gross dividend (USD) Net dividend (USD)f)
01 Mar 2016 03 Mar 2016 04 Mar 2016 22 Apr 2016 1.02 0.84
03 Mar 2015 05 Mar 2015 06 Mar 2015 20 Apr 2015 1.00 0.83
04 Mar 2014 06 Mar 2014 10 Mar 2014 22 Apr 2014 1.11 0.92
05 Mar 2013 07 Mar 2013 11 Mar 2013 11 Apr 2013 0.97 0.81
06 Mar 2012 08 Mar 2012 12 Mar 2012 12 Apr 2012 0.92 0.77

Note c) Declared date is the date of approval of the proposed dividend at the Annual General Meeting
Note d) Ex-dividend date is the first date where trading takes place without dividend
Note e) Record date is the last date on which the security must be held in custody in order to be eligible to receive dividend (as settlement typically takes place trading day + 3 days)
Note f) 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(-2013) or $0.0275 (2014-) 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

Dividend reinvestment program

In 2010, Roche initiated a dividend reinvestment program through the depositary bank, J.P. Morgan Chase, to all registered ADR holders. Through the plan, Roche ADR holders can arrange to reinvest all or part of their dividend in the purchase of additional ADRs. For more information, please see the brochure at the Learn more about section of this page.

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: Phone:1 800 990 1135
Hearing impaired: Phone:1 866 700 1652
Outside the U.S.: Phone:+1 651 453 2128
Email: jpmorgan.adr@wellsfargo.com

Regular correspondence:
JPMorgan Chase & Co.
P.O. Box 64504
St. Paul, MN 55164-0504

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:

Investor Relations North America
Roche Holdings, Inc.
Genentech, Inc.
1 DNA Way
South San Francisco, CA 94080
USA

Phone:Main Number: +1 650 225 5566
Fax:Investors: +1 650 225 8326

Email IR Team

Contacts

Neera Dahiya Ravindran, Head of Investor Relations North America

Phone:+1 650 491 5281

Stacy Galvin, Senior Specialist
Phone:+1 650 225 4150

Information accessed herein may not under any circumstances be used for the purpose of, or in connection with, the quotation of any securities on an automated inter-dealer quotation system within the meaning of Rule 12g3-2(b) under the Securities Exchange Act of 1934.