ADR Information

Roche’s ADR (American Depositary Receipt) is on OTCQX International Premier under the symbol RHHBY. Traded in U.S. dollars, one (1) 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.

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.

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.

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 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: 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

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:

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.