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Managers’ Transactions

Henkel AG & Co. KGaA, Henkelstrasse 67, 40191 Düsseldorf/Germany, publishes, on this website, any notification received in accordance with art. 19 sec. 1 Market Abuse Regulation (“Marktmissbrauchsverordnung”) regarding transactions conducted by persons with managerial responsibilities or by persons closely associated to them.

A consistently accurate overview of the transactions of the current year as well as a survey on former transactions are available here. Below you will also find the announcements in detail.

Abbreviation for “Kommanditgesellschaft auf Aktien.” A KGaA is a company with a legal identity (legal entity) in which at least one partner has unlimited liability with respect to the company’s creditors (personally liable partner), while the liability for such debts of the other partners participating in the share-based capital stock is limited to their share capital (limited shareholders). 

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Summary Transactions 2017

I. Notifications from persons with management functions

Management Board

Date / Place
of Transaction
Name of 
Person
Type of Share /
Right
Security ID Number
(ISIN)
Transaction
Type
Price /
Currency
QuantityTransaction
Volume
05/02/2017,
Frankfurt
Hans Van BylenPreferred ShareDE 0006048432Acquisition124.31 €4,431550,794.91 €
Comment: Acquisition: Fulfillment of the requirement to acquire Henkel Preferred Shares via the stock exchange
at the current market price in an amount equivalent to 35 percent of the payout of the variable annual cash
remuneration (Share Deferral out of the Short Term Incentive).
05/02/2017,
Frankfurt
Jan-Dirk AurisPreferred ShareDE 0006048432Acquisition124.31 €3,274406,974.16 €
Comment: Acquisition: Fulfillment of the requirement to acquire Henkel Preferred Shares via the stock exchange
at the current market price in an amount equivalent to 35 percent of the payout of the variable annual cash
remuneration (Share Deferral out of the Short Term Incentive).
05/02/2017,
Frankfurt
Carsten KnobelPreferred ShareDE 0006048432Acquisition124.31 €3,386420,896.31 €
Comment: Acquisition: Fulfillment of the requirement to acquire Henkel Preferred Shares via the stock exchange
at the current market price in an amount equivalent to 35 percent of the payout of the variable annual cash
remuneration (Share Deferral out of the Short Term Incentive).
05/02/2017,
Frankfurt
Kathrin MengesPreferred ShareDE 0006048432Acquisition124.31 €3,161392,927.71 €
Comment: Acquisition: Fulfillment of the requirement to acquire Henkel Preferred Shares via the stock exchange
at the current market price in an amount equivalent to 35 percent of the payout of the variable annual cash
remuneration (Share Deferral out of the Short Term Incentive).
05/02/2017,
Frankfurt
Bruno PiacenzaPreferred ShareDE 0006048432Acquisition124.31 €3,386420,896.31 €
Comment: Acquisition: Fulfillment of the requirement to acquire Henkel Preferred Shares via the stock exchange
at the current market price in an amount equivalent to 35 percent of the payout of the variable annual cash
remuneration (Share Deferral out of the Short Term Incentive).
05/02/2017,
Frankfurt
Pascal HoudayerPreferred ShareDE 0006048432Acquisition124.31 €2,583321,079.49 €
Comment: Acquisition: Fulfillment of the requirement to acquire Henkel Preferred Shares via the stock exchange
at the current market price in an amount equivalent to 35 percent of the payout of the variable annual cash
remuneration (Share Deferral out of the Short Term Incentive).

 

Supervisory Board / Shareholders' Committee

Date / Place
of Transaction
Name of 
Person
Type of Share /
Right
Security ID Number
(ISIN)
Transaction
Type
Price /
Currency
QuantityTransaction
Volume
03/15/2017,
off-market
Dr. h.c. Christoph HenkelOrdinary ShareDE 0006048408Settlement of
Share Collar Option
0.01 €/
8.28 €
100,000
Comment: Closing of a share collar option by way of cash settlement (Sale of put options, purchase of call options
in order to hedge 100,000 ordinary shares): Strike price put option: 55.00 euros, strike price call option: 95.05 euros.
Settlement premium put option: 0.01 euros per share, in total 1,000 euros. Settlement premium call option
8.28 euros per share, in total 828,000 euros. Maturity: March 17, 2017.
03/15/2017,
off-market
Dr. h.c. Christoph HenkelOrdinary ShareDE 0006048408Settlement of
Share Collar Option
0.01 €/
8.28 €
100,000
Comment: Closing of a share collar option by way of cash settlement (Sale of put options, purchase of call options
in order to hedge 100,000 ordinary shares): Strike price put option: 55.00 euros, strike price call option: 95.05 euros.
Settlement premium put option: 0.01 euros per share, in total 1,000 euros. Settlement premium call option
8.28 euros per share, in total 828,000 euros. Maturity: March 31, 2017.
03/15/2017,
off-market
Dr. h.c. Christoph HenkelOrdinary ShareDE 0006048408Settlement of
Share Collar Option
67.16 €/
96.92 €
100,000
Comment: Share collar option: Purchase of put options, sale of call options in order to hedge 100,000 ordinary shares.
Strike price put option: 67.16 euros per share. Strike price call option: 96.92 euros per share.
Premium put option: 0.86 euros. Premium call option: 9.13 euros. Maturity: March 16, 2018.
03/15/2017,
off-market
Dr. h.c. Christoph HenkelOrdinary ShareDE 0006048408Settlement of
Share Collar Option
67.16 €/
96.92 €
100,000
Comment: Share collar option: Purchase of put options, sale of call options in order to hedge 100,000 ordinary shares.
Strike price put option: 67.16 euros per share. Strike price call option: 96.92 euros per share.
Premium put option: 0.86 euros. Premium call option: 9.19 euros. Maturity: March 29, 2018.
03/17/2017,
off-market
Konstantin von UngerOrdinary ShareDE 0006048408Receipt of shares
without payment
103.39 €112,70011,652,053.00 €
03/24/2017,
off-market
Konstantin von UngerOrdinary ShareDE 0006048408Receipt of shares
without payment
102.70 €18,5701,907,139.00 €
03/24/2017,
off-market
Konstantin von UngerPreferred ShareDE 0006048432Receipt of shares
without payment
118.95 €125,71214,953,442.40 €
05/16/2017,
off-market
Dr. h.c. Christoph HenkelOrdinary ShareDE 0006048408Closing of
Share Collar Option
0.01 €/
10.96 €
100,000
Comment: Closing of a share collar option by way of cash settlement (Sale of put options, purchase of call options in
order to hedge 100,000 ordinary shares): Strike price put option: 64.87 euros, strike price call option: 97.20 euros.
Settlement premium put option: 0.01 euros per share, in total 1,000 euros. Settlement premium call option 10.96 euros
per share, in total 1,096,000 euros. Maturity: May 19, 2017.
05/16/2017,
off-market
Dr. h.c. Christoph HenkelOrdinary ShareDE 0006048408Share Collar Option75.71 €/
98.05 €
100,000
Comment: Share collar option: Purchase of put options, sale of call options in order to hedge 100,000 ordinary
shares. Strike price put option: 75.71 euros per share. Strike price call option: 98.05 euros per share. Premium
put option: 0.37 euros. Premium call option: 11.03 euros. Maturity: December 8, 2017.

 

II. Notifications from persons related to persons with management functions

Date / Place
of Transaction
Name of 
Person
Type of Share /
Right
Security ID Number
(ISIN)
Transaction
Type
Price /
Currency
QuantityTransaction
Volume
03/17/2017,
off-market
Vagator Ltd.Ordinary ShareDE 0006048408Transfer of shares
without payment
103.39 €112,70011,652,053.00 €
03/21/2017,
off-market
Aurora GmbH & Co. KGPreferred ShareDE 0006048432Disposal120.4955 €9,0001,084,459.50 €
03/24/2017,
off-market
Vagator Ltd.Ordinary ShareDE 0006048408Transfer of shares
without payment
102.70 €18,5701,907,139.00 €
03/24/2017,
off-market
Vagator Ltd.Preferred ShareDE 0006048432Transfer of shares
without payment
118.95 €125,71214,953,442.40 €
04/03/2017,
off-market
Aurora GmbH & Co. KGPreferred ShareDE 0006048432Disposal120.25 €16,0001,924,060.00 €

Announcements Managers' Transactions

Transactions

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