ADR Information

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.

SymbolSecurityNo. of securitiesTrading/ListingCUSIP/ISIN
RHHBYU.S. security (ADR)Note a)OTCQX771195104
ROGNon-voting equity security (NES)702,562,700SIX Swiss ExchangeCH0012032048
ROVoting share160,000,000SIX Swiss ExchangeCH0012032113

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 dateEffective dateADR splitADR to NES ratio
20 Feb 201427 Feb 20142 for 18 to 1
05 Jan 200909 Jan 20092 for 14 to 1
21 Jan 200525 Jan 20052 for 12 to 1
Note b)04 May 20011 for 11 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 ADRGross dividend (USD)Net dividend (USD)f)
04 Mar 201406 Mar 201410 Mar 201422 Apr 20141.110.92
05 Mar 201307 Mar 201311 Mar 201311 Apr 20130.970.81
06 Mar 201208 Mar 201212 Mar 201212 Apr 20120.920.77
02 Mar 201103 Mar 201107 Mar 201125 Apr 20110.880.74
02 Mar 201004 Mar 201008 Mar 201020 Apr 20100.700.58

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

Thomas Kudsk Larsen, Head of Investor Relations North America
Phone: +1 650 467 2016

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

Nina Goworek, IR Officer
Phone: +1 650 467 8737

Ekaterine Kortkhonjia, IR Officer
Phone: +1 650 467 5873

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.