0000950103-12-000664.txt : 20120209 0000950103-12-000664.hdr.sgml : 20120209 20120209131129 ACCESSION NUMBER: 0000950103-12-000664 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120209 DATE AS OF CHANGE: 20120209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Artio Global Investors Inc. CENTRAL INDEX KEY: 0001419178 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 136174048 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-85038 FILM NUMBER: 12585799 BUSINESS ADDRESS: STREET 1: 330 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-297-3600 MAIL ADDRESS: STREET 1: 330 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: Julius Baer Americas Inc. DATE OF NAME CHANGE: 20071121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GAM Holding Ltd. CENTRAL INDEX KEY: 0001438848 IRS NUMBER: 000000000 STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: KLAUSTRASSE 10 CITY: ZURICH STATE: V8 ZIP: 999999999 BUSINESS PHONE: 212-407-4600 MAIL ADDRESS: STREET 1: C/O GAM USA INC STREET 2: ONE ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: Julius Baer Holding Ltd. DATE OF NAME CHANGE: 20080627 SC 13G 1 dp28658_sc13g.htm FORM SC 13G



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549


 
SCHEDULE 13G
 
Under the Securities Exchange Act of 1934
 



 
Artio Global Investors Inc.

(Name of Issuer)
 
Class A Common Stock

 (Title of Class of Securities)
 
04315B107

 (CUSIP Number)
 
December 31, 2011

 (Date of Event which Requires Filing of this Statement)

 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
o Rule 13d-1(b)
 
o Rule 13d-1(c)
 
x Rule 13d-1(d)
 
 
Page 1 of 5

 
 
CUSIP No. 04315B107
 13G
 
 
1.
NAME OF REPORTING PERSONS
 
GAM Holding Ltd.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
 
(a)
o
 
(b)
o
3.
SEC USE ONLY
 
 
 
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Switzerland
 
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
16,755,844
6.
SHARED VOTING POWER
 
0
7.
SOLE DISPOSITIVE POWER
 
16,755,844
8.
SHARED DISPOSITIVE POWER
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
16,755,844
 
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
28.9% based on 58,051,113 outstanding Class A common shares
 
12.
TYPE OF REPORTING PERSON
 
NOT APPLICABLE
 
 
 
Page 2 of 5

 
 
 
Item 1(a).
Name of Issuer:
 
Artio Global Investors Inc.
 
Item 1(b).
Address of Issuer’s Principal Executive Offices:
 
330 Madison Avenue
New York, NY 10017
 
Item 2(a).
Name of Person Filing:
 
GAM Holding Ltd.
 
Item 2(b).
Address of Principal Business Office or, if None, Residence:
 
Klausstrasse 10
8034 Zurich
Switzerland
 
Item 2(c).
Citizenship:
 
Switzerland
 
Item 2(d).
Title of Class of Securities:
 
Class A Common Stock
 
Item 2(e).
CUSIP Number:
 
04315B107
 
Item 3.
If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
 
NOT APPLICABLE
 
(a)
o
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
 
(b)
o
Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
 
(c)
o
Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
 
(d)
o
Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
 
(e)
o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
 
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
(g)
o
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
 
(h)
o
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
 
(j)
o
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
 
 
Page 3 of 5

 
 
(k)
o
Group, in accordance with §240.13d-1(b)(1)(ii)(J).
 
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
 
Item 4.
Ownership.
 
Provide the following information regarding the aggregate number and percentage of the class of securities of issuer identified in Item 1.
 
 
(a)
Amount beneficially owned:  16,755,844
 
 
(b)
Percent of class:  28.9% based on 58,051,113 outstanding Class A common shares
 
 
(c)
Number of shares as to which such person has:
 
 
 
(i) Sole power to vote or to direct the vote:  16,755,844
 
 
 
(ii) Shared power to vote or to direct the vote: 0
 
 
 
(iii) Sole power to dispose or to direct the disposition of:  16,755,844
 
 
 
(iv) Shared power to dispose or to direct the disposition of:  0
 
Item 5.
Ownership of Five Percent or Less of a Class.
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following.
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
NOT APPLICABLE
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
 
NOT APPLICABLE
 
Item 8.
Identification and Classification of Members of the Group.
 
NOT APPLICABLE
 
Item 9.
Notice of Dissolution of Group.
 
NOT APPLICABLE
 
Item 10.
Certifications.
 
NOT APPLICABLE
 
 
Page 4 of 5

 
 
SIGNATURE
 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
 
9 February, 2012
 
(Date)
 
   
/s/ Elmar Zumbuehl
 
(Signature)
 
   
Elmar Zumbuehl
Legal Counsel & Corporate Secretary
 
(Name/Title)
 
   
/s/ Bernhard Hoessli
 
(Signature)
 
   
Bernhard Hoessli
Head of Tax
 
(Name/Title)
 


The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative.  If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of the filing person), evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference.  The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
 
Attention.  Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001).
 
 
 
Page 5 of 5