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Directors' Dealings


Notification Obligations for Managers’ Transactions (Directors’ Dealings)

According to Art. 19 of the Regulation (EU) No 596/2014 on market abuse (MAR), persons discharging managerial responsibilities within ADVA Optical Networking SE as well as persons closely associated with them are required to notify ADVA Optical Networking SE and the Federal Financial Supervisory Authority (BaFin) of transactions conducted on their own account relating to the shares or debt instruments of ADVA Optical Networking SE or to derivatives or other financial instruments linked thereto.

ADVA Optical Networking SE has been notified of the following transactions (as of July 3, 2016 according to Art. 19 MAR; previously according to Sec. 15a of the German Securities Trading Act):

Date First and last name/company name Person with managerial function, position, responsibility relation to the person with managerial function (where applicable) Transaction type, security and ISIN Date, place, price, currency, amount, transaction volume
November 16, 2015 Ulrich Dopfer Ulrich Dopfer acts as CFO of ADVA Optical Networking SE Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on August 15, 2018 if not exercised 10 November 2015, off-exchange, EUR 3.57 per share,
EUR 3,570,00,
1,000 shares
      Sale of ADVA ordinary shares (ISIN DE0005103006) 10 November 2015, Xetra,
EUR 10.35 per share,
EUR 10,350.00,
1,000 shares
November 13, 2015  Christoph Glingener  Christoph Glingener acts as CTO of ADVA Optical Networking SE Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on January 1, 2017 if not exercised 13 November 2015, off-exchange, EUR 2.55 per share,
EUR 63,750,00,
25,000 shares 
      Sale of ADVA ordinary shares (ISIN DE0005103006) 13 November 2015, Xetra,
EUR 10.13 per share,
EUR 253,251.28,
25,000 shares
November 11, 2015  Brian Protiva
Brian Protiva acts as CEO of ADVA Optical Networking SE
Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on October 1, 2016 if not exercised 6 November 2015, off-exchange, EUR 2.26 per share,
EUR 67,800,00,
30,000 shares 
      Sale of ADVA ordinary shares (ISIN DE0005103006) 6 November 2015, Xetra,
EUR 10.38 per share,
EUR 311,391.75,
30,000 shares
November 11, 2015 Brian Protiva Brian Protiva acts as CEO of ADVA Optical Networking SE Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on January 1, 2017 if not exercised 6 November 2015, off-exchange, EUR 2.55 per share,
EUR 306,000,00,
120,000 shares
      Sale of ADVA ordinary shares (ISIN DE0005103006) 6 November 2015, Xetra,
EUR 10.38 per share,
EUR 1,245,567.00,
120,000 shares
November 2, 2015 Christoph Glingener Christoph Glingener acts as CTO of ADVA Optical Networking SE Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on October 1, 2016 if not exercised 2 November 2015, off-exchange, EUR 2.2600 per share,
EUR 158,200,00,
70,000 shares
      Sale of ADVA ordinary shares (ISIN DE0005103006) 2 November 2015, Xetra,
EUR 9.5600 per share,
EUR 669,158.63,
70,000 shares
July 29, 2015 Ulrich Dopfer Ulrich Dopfer acts as CFO of ADVA Optical Networking SE
Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on July 31, 2015 if not exercised
28 July 2015, off-exchange, EUR 4.6200 per share,
EUR 13,860,00,
3,000 shares
      Sale of ADVA ordinary shares (ISIN DE0005103006)
28 July 2015, Xetra, EUR 10.3000 per share,
EUR 30,900.00,
3,000 shares
June 1, 2015 Christoph Glingener Christoph Glingener acts as CTO of ADVA Optical Networking SE Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on June 30, 2015 if not exercised 1 June 2015, off-exchange, EUR 2.5700 per share,
EUR 128,500,00,
50,000 shares
      Sale of ADVA ordinary shares (ISIN DE0005103006) 1 June 2015, Xetra, EUR 6.4233 per share,
EUR 321,165.95,
50,000 shares
May 28, 2015 Ulrich Dopfer Ulrich Dopfer acts as CFO of ADVA Optical Networking SE Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on September 30, 2015 if not exercised 26 May 2015, Xetra, EUR 1.7500 per share,
EUR 2,334,50
1,334 shares
      Sale of ADVA ordinary shares (ISIN DE0005103006) 26 May 2015, Xetra, EUR 6.1000 per share,
EUR 8,137.40,
1,334 shares
May 28, 2015 Ulrich Dopfer Ulrich Dopfer acts as CFO of ADVA Optical Networking SE Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on September 30, 2015 if not exercised 22 May 2015, Xetra, EUR 1.7500 per share,
EUR 2,332,75
1,333 shares
      Sale of ADVA ordinary shares (ISIN DE0005103006) 22 May 2015, Xetra, EUR 6.0008 per share,
EUR 7,999.07,
1,333 shares