Directors' dealings
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Notification obligations for managers’ transactions.
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 |
| 20 July, 2022 | Christoph Glingener |
Christoph Glingener acts as CTO of ADVA Optical Networking SE |
Type: Derivative Description: Stock option: subscription rights on shares of ADVA Optical Networking SE (ISIN DE0005103006) in the context of the stock option program 2011 Exchange of a total of 304,286 stock options to purchase one share each in ADVA Optical Networking SE ('ADVA') at a ratio of 1:0.8244 for a total of 250,853 stock options to purchase one share each in ADTRAN Holdings, Inc. (ISIN US00486H1059, formerly known as Acorn HoldCo, Inc.; 'ADTRAN') in connection with the business combination of ADVA and ADTRAN. 0.8244 stock options to subscribe for one share each in ADTRAN per stock option to subscribe for one share each in ADVA. 250,853 stock options to subscribe for one share each in ADTRAN. |
20 July 2022, off-exchange, not numberable |
| 20 July, 2022 |
Scott St. John | Scott St. John acts as CMSO of ADVA Optical Networking SE | Type: Derivative Description: Stock option: subscription rights on shares of ADVA Optical Networking SE (ISIN DE0005103006) under the 2011 stock option program Exchange of a total of 228,572 stock options to subscribe for one share each in ADVA Optical Networking SE ('ADVA')at a ratio of 1:0.8244 for a total of 188,434 stock options to subscribe for one share each in ADTRAN Holdings, Inc. (ISIN US00486H1059, formerly trading as Acorn HoldCo, Inc.; 'ADTRAN') in connection with the business combination of ADVA and ADTRAN. 0.8244 Stock options to subscribe for one share each in ADTRAN per stock option to subscribe for one share each in ADVA. 188,434 Stock options to subscribe for one share each in ADTRAN. |
20 July 2022, off-exchange, not numberable |
| 20 July, 2022 | Brian Protiva |
Brian Protiva acts as CEO of ADVA Optical Networking SE |
Type: Derivative Description: Stock option: subscription rights on shares of ADVA Optical Networking SE (ISIN DE0005103006) under the Stock Option Program 2011 Stock option exchange of a total of 313,572 stock options to subscribe for one share each in ADVA Optical Networking SE ('ADVA') at a ratio of 1:0.8244 for a total of 258,508 stock options to subscribe for one share each in ADTRAN Holdings, Inc. (ISIN US00486H1059, formerly trading as Acorn HoldCo, Inc.; 'ADTRAN') in connection with the business combination of ADVA and ADTRAN. 0.8244 Stock options to subscribe for one share each in ADTRAN per stock option to subscribe for one share each in ADVA. 258,508 Stock options to subscribe for one share each in ADTRAN. |
20 July 2022, off-exchange, not numberable |
| 20 July, 2022 | Ulrich Dopfer | Ulrich Dopfer acts as CFO of ADVA Optical Networking SE | Type: Derivative Description: Stock option: subscription rights on shares of ADVA Optical Networking SE (ISIN DE0005103006) under the 2011 stock option program Exchange of a total of 241,429 stock options to subscribe for one share each in ADVA Optical Networking SE ('ADVA') at a ratio of 1:0.8244 for a total of 199,034 stock options to subscribe for one share each in ADTRAN Holdings, Inc. (ISIN US00486H1059, formerly known as Acorn HoldCo, Inc.; 'ADTRAN') in connection with the business combination of ADVA and ADTRAN. 0.8244 stock options to subscribe for one share each in ADTRAN per stock option to subscribe for one share each in ADVA. 199,034 stock options to subscribe for one share each in ADTRAN. |
20 July 2022, off-exchange, not numberable |
| 6 July, 2022 | Ulrich Dopfer |
Ulrich Dopfer acts as CFO of ADVA Optical Networking SE | Exchange of a total of 500 tendered shares in ADVA Optical Networking SE at a ratio of 1:0.8244 for a total of 412 ordinary shares (common stock) in Acorn HoldCo, Inc. (ISIN US00486H1059, now trading as ADTRAN Holdings, Inc.), together with any fractional settlement in cash, at the time of the completion of the voluntary public tender offer (exchange offer) of Acorn HoldCo, Inc. (now ADTRAN Holdings,Inc.) to the shareholders of ADVA Optical Networking SE. 0.8244 shares in Acorn HoldCo, Inc. (now ADTRAN Holdings, Inc.) per share in ADVA Optical Networking SE plus currently unquantifiable fractional compensation in cash per share. 412 shares in Acorn HoldCo, Inc. (now ADTRAN Holdings, Inc.) plus currently unquantifiable fractional cash compensation for all shares tendered. |
6 July 2022, off-exchange, not numberable |
| 6 July, 2022 | Brian Protiva | Brian Protiva acts as CEO of ADVA Optical Networking SE | Exchange of a total of 401,030 tendered shares in ADVA Optical Networking SE at a ratio of 1:0.8244 for a total of 330,609 ordinary shares (common stock) in Acorn HoldCo, Inc. (ISIN US00486H1059, now trading as ADTRAN Holdings, Inc.), together with any fractional cash settlement, at the time of the completion of the voluntary public tender offer (exchange offer) of Acorn HoldCo, Inc. (now ADTRAN Holdings, Inc.) to the shareholders of ADVA Optical Networking SE. 0.8244 shares in Acorn HoldCo, Inc. (now ADTRAN Holdings, Inc.) per share in ADVA Optical Networking SE plus currently unquantifiable fractional compensation in cash per share. 330,609 shares in Acorn HoldCo, Inc. (now ADTRAN Holdings, Inc.) plus currently unquantifiable fractional cash compensation for all shares tendered. | 6 July 2022, off-exchange, not numberable |
| 6 July, 2022 | Nicole Protiva |
Person closely associated with Brian Protiva (CEO of ADVA Optical Networking SE) |
Exchange of a total of 23,485 tendered shares in ADVA Optical Networking SE at a ratio of 1:0.8244 for a total of 19,361 common shares in Acorn HoldCo, Inc. (ISIN US00486H1059, now trading as ADTRAN Holdings, Inc. ), together with any fractional cash consideration, at the time of the completion of the voluntary public tender offer (exchange offer) of Acorn HoldCo, Inc. (now ADTRAN Holdings, Inc.) to the shareholders of ADVA Optical Networking SE. 0.8244 shares in Acorn HoldCo, Inc. (now ADTRAN Holdings, Inc.) per share in ADVA Optical Networking SE plus currently unquantifiable fractional compensation in cash per share. 19,361 shares in Acorn HoldCo, Inc. (now ADTRAN Holdings, Inc.) plus currently unquantifiable fractional cash compensation for all shares tendered. | 6 July 2022, off-exchange, not numberable |
| 31 May, 2022 | Scott St. John | Scott St. John acts as CMSO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 31 May 2022, off-exchange, EUR 4.98 per share, EUR 106,711.44 21,428 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
31 May 2022, Xetra, EUR 15.59 per share, EUR 334,062.52 21,428 shares |
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| 30 May, 2022 | Ulrich Dopfer | Ulrich Dopfer acts as CFO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 30 May 2022, off-exchange, EUR 8.70 per share, EUR 132,570.60 15,238 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
30 May 2022, Xetra, EUR 15.75 per share, EUR 239,998.50 15,238 shares |
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| 31 May, 2022 | Christoph Glingener | Christoph Glingener acts as CTO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 31 May 2022, off-exchange, EUR 8.70 per share, EUR 77,943.30 8,959 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 31 May 2022, Xetra, EUR 15.705687 per share, EUR 140,707.25 8,959 shares |
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| 30 May, 2022 | Christoph Glingener |
Christoph Glingener acts as CTO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 30 May 2022, off-exchange, EUR 8.70 per share, EUR 102,268.50 11,755 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 30 May 2022, Xetra, EUR 15.75754 per share, EUR 185,229.88 11,755 shares |
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| 26 May, 2022 | Brian Protiva |
Brian Protiva acts as CEO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 26 May 2022, off-exchange, EUR 8.70 per share, EUR 186,423.60 21,428 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 26 May 2022, Xetra, EUR 15.71614 per share, EUR 336,765.45 21,428 shares |
Notification obligations for managers’ transactions.
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 |
| 28 October, 2021 | Ulrich Dopfer |
Ulrich Dopfer acts as CFO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 28 October 2021, off-exchange, EUR 8.70 per share, EUR 132,570.60 15,238 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 28 October 2021, Xetra, EUR 11.306543 per share, EUR 172,289.10 15,238 shares |
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| 28 October, 2021 | Brian Protiva |
Brian Protiva acts as CEO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 28 October 2021, off-exchange, EUR 8.70 per share, EUR 186,423.60 21,428 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 28 October 2021, Xetra, EUR 11.155031 per share, EUR 239,030.00 21,428 shares |
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| 28 October, 2021 | Christoph Glingener | Christoph Glingener acts as CTO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 28 October 2021, off-exchange, EUR 8.70 per share, EUR 180,211.80 20,714 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
28 October 2021, Xetra, EUR 11.165952 per share, EUR 231,291.53 20,714 shares |
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| 30 July, 2021 | Brian Protiva |
Brian Protiva acts as CEO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 30 July 2021, off-exchange, EUR 8.70 per share, EUR 312,016.80 35,864 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
30 July 2021, Xetra, EUR 12.518060 per share, EUR 448,947.70 35,864 shares |
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| 29 July, 2021 | Brian Protiva |
Brian Protiva acts as CEO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
29 July 2021, off-exchange, EUR 8.70 per share, EUR 433,677.60 49,848 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
29 July 2021, Xetra, EUR 12.825448 per share, EUR 639,322.93, 49,848 shares |
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| 30 July, 2021 | Christoph Glingener | Christoph Glingener acts as CTO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 30 July 2021, off-exchange, EUR 8.70 per share, EUR 256,058.40 29,432 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
30 July 2021, Xetra, EUR 12.515794 per share, EUR 368,364.85 29,432 shares |
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| 29 July, 2021 | Christoph Glingener |
Christoph Glingener acts as CTO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
29 July 2021, off-exchange, EUR 8.70 per share, EUR 464,788.80 53,424 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
29 July 2021, Xetra, EUR 12.821634 per share, EUR 684,982.97 53,424 shares |
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| 29 July, 2021 | Ulrich Dopfer | Ulrich Dopfer acts as CFO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 29 July 2021, off-exchange, EUR 8.70 per share, EUR 530,282.40 60,952 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
29 July 2021, Xetra, EUR 12.947133 per share - 30,861 shares EUR 12,78184 per share - 30,091 shares average sale price: EUR 12.86553 Aggregated volume: EUR 784,179.81 |
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| 28 July, 2021 | Ulrich Dopfer | Ulrich Dopfer acts as CFO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 28 July 2021, off-exchange, EUR 5.15 per share, EUR 193,125.00 37,500 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 28 July 2021, Xetra, EUR 13.251045 per share - 1,340 shares EUR 12,990398 per share - 36,160 shares average sale price: EUR 12.9997117 Aggregated volume:EUR 487,489.19 |
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| 26 May, 2021 | Ulrich Dopfer |
Ulrich Dopfer acts as CFO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
26 May 2021, off-exchange, EUR 5.15 per share, EUR 193,125.00 37,500 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 26 May 2021, Xetra, EUR 10.5706 per share, EUR 396,397.50, 37,500 shares |
Notification obligations for managers’ transactions.
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 |
| 29 October, 2020 | Ulrich Dopfer |
Ulrich Dopfer acts as CFO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
29 October 2020, off-exchange, EUR 5.15 per share, EUR 193,125.00 37,500 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
29 October 2020, Xetra, EUR 6.164346 per share, EUR 231,162.98, 37,500 shares |
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| 28 October, 2020 | Brian Protiva | Brian Protiva acts as CEO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
28 October 2020, off-exchange, EUR 3.19 per share, EUR 95,700.00 30,000 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 28 October 2020, Xetra, EUR 6.186322 per share, EUR 185,589.66, 30,000 shares |
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| 27 October, 2020 | Christoph Glingener | Christoph Glingener acts as CTO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 27 October 2020, off-exchange, EUR 3.90 per share, EUR 253,500.00 65,000 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 27 October 2020, Xetra, EUR 6.319475 per share, EUR 410,765.88, 65,000 shares |
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| July 30, 2020 |
Ulrich Dopfer |
Ulrich Dopfer acts as CFO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
30 July 2020, off-exchange, EUR 5.15 per share, EUR 193,125.00 37,500 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
30 July 2020, Xetra, EUR 7.009875 per share, EUR 262,870.31, 37,500 shares |
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| July 29, 2020 |
Brian Protiva | Brian Protiva acts as CEO of ADVA Optical Networking SE |
Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes | 29 July 2020, off-exchange, EUR 3.19 per share, EUR 95,700.00 30,000 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) / Transaction linked to the exercise of share option programmes |
29 July 2020, Xetra, EUR 7.303385 per share, EUR 219,101.55, 30,000 shares |
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| July 28, 2020 | Christoph Glingener |
Christoph Glingener acts as CTO of ADVA Optical Networking SE | Exercise of stock options granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) | 28 July 2020, off-exchange, EUR 3.90 per share, EUR 253,500.00 65,000 shares |
| Disposal of shares resulting from the exercise of a stock option granted to a member of the management board as part of his remuneration package (Article 10 paragraph 2 letter b of Commission Delegated Regulation (EU) No. 2016/522) |
28 July 2020, Xetra, EUR 7.10387 per share, EUR 461,751.55, 65,000 shares |
Notification obligations for managers’ transactions.
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 |
| August 15, 2019 | Paulus Bucher |
Paulus Bucher acts as COO of ADVA Optical Networking SE | Purchase of ADVA ordinary shares (ISIN DE0005103006) based on exercisable employee stock options which expire on August 14, 2019 if not exercised | 13 August 2019, off-exchange, EUR 5.05 per share, EUR 15,150.00 3,000 shares |
| Sale of ADVA ordinary shares (ISIN DE0005103006) |
13 August 2019, Xetra, EUR 6.45 per share, EUR 19,350.00, 3,000 shares |
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| August 07, 2019 | Brian L. 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 August 14, 2019 if not exercised |
7 August 2019, off-exchange, EUR 5.05 per share, EUR 252,500.00 50,000 shares |
| Sale of ADVA ordinary shares (ISIN DE0005103006) |
7 August 2019, Xetra, EUR 6.226709 per share, EUR 311,335.45 , 50,000 shares |
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| August 07, 2019 | 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 August 14, 2019 if not exercised | 7 August 2019, off-exchange, EUR 5.05 per share, EUR 252,500.00 50,000 shares |
| Sale of ADVA ordinary shares (ISIN DE0005103006) | 7 August 2019, Xetra, EUR 6.228254 per share, EUR 311,412.70, 50,000 shares |
Notification obligations for managers’ transactions.
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 20, 2018 | Paulus Bucher | Paulus Bucher acts as COO of ADVA Optical Networking SE | Acceptance of 10,000 stock options granted as part of his remuneration package | 15 November 2018, outside a trading venue, not numerable |
| November 09, 2018 | 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 14, 2019 if not exercised |
7 November 2018, off-exchange, EUR 5.05 per share EUR 15.150 3,000 shares |
| Sale of ADVA ordinary shares (ISIN DE0005103006) | 7 November 2018, Xetra, EUR 7.90 per share EUR 23,700.00, 3,000 shares |
Notification obligations for managers’ transactions.
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 |
| March 16, 2017 | Hans-Joachim Grallert |
Member of the Supervisory Board of ADVA Optical Networking SE |
Sale of ADVA ordinary shares (ISIN DE0005103006) |
6 March 2017, off-exchange, EUR 9.90 per share EUR 6,138.00 620 shares |
Notification obligations for managers’ transactions,
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 |
| There were no directors’ dealings during 2016 |
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Notification obligations for managers’ transactions
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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |