0001104659-13-051111.txt : 20130625 0001104659-13-051111.hdr.sgml : 20130625 20130624174419 ACCESSION NUMBER: 0001104659-13-051111 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130625 DATE AS OF CHANGE: 20130624 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85038 FILM NUMBER: 13930467 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 AG CENTRAL INDEX KEY: 0001438848 IRS NUMBER: 000000000 STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A 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: GAM Holding Ltd. DATE OF NAME CHANGE: 20091001 FORMER COMPANY: FORMER CONFORMED NAME: Julius Baer Holding Ltd. DATE OF NAME CHANGE: 20080627 SC 13G/A 1 a13-15426_1sc13ga.htm SC 13G/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G/A

 

(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2

 

Under the Securities Exchange Act of 1934
(Amendment No: 1)*

 

Artio Global Investors Inc.

(Name of Issuer)

Class A Common Stock

(Title of Class of Securities)

04315B107

(CUSIP Number)

May 21, 2013

(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)

 

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

CUSIP No. 04315B107

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

GAM Holding AG

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(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
0

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0

 

 

12.

Type of Reporting Person (See Instructions)
HC

 

2


 

This Amendment No.1 to Schedule 13G (this “Amendment”) is an amendment to the initial statement on Schedule 13G relating to shares of Class A Common Stock (the “Common Stock”), of Artio Global Investors Inc., a Delaware corporation (the “Issuer”), filed with the Securities and Exchange Commission on February 14, 2013(the “Schedule 13G”).

 

This Amendment is being filed on behalf of GAM Holding AG (the “Reporting Person”).

 

This Amendment amends and restates the Schedule 13G as follows.

 

Item 1.

 

(a)

Name of Issuer
Artio Global Investors Inc.

 

(b)

Address of Issuer’s Principal Executive Offices
330 Madison Avenue New York, NY 10017

 

Item 2.

 

(a)

Name of Person Filing
GAM Holding AG

 

(b)

Address of Principal Business Office or, if none, Residence
Klaustrasse 10, 8034 Zurich, Switzerland

 

(c)

Citizenship
Switzerland

 

(d)

Title of Class of Securities
Class A Common Stock

 

(e)

CUSIP Number
04315B107

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(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 associations 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

Group, in accordance with § 240.13d–1(b)(1)(ii)(J).

 

3


 

Item 4.

Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:   

0

 

(b)

Percent of class:   

0%

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote   

0

 

 

(ii)

Shared power to vote or to direct the vote    

0

 

 

(iii)

Sole power to dispose or to direct the disposition of   

0

 

 

(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   x.

 

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 or Control Person.

Not applicable

 

Item 8.

Identification and Classification of Members of the Group

Not applicable

 

Item 9.

Notice of Dissolution of Group

Not applicable

 

4


 

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.

 

 

June 24, 2013

 

Date

 

 

 

GAM HOLDING AG

 

 

 

/s/ Scott Sullivan

 

Signature

 

 

 

Scott Sullivan, Group General Counsel

 

Name/Title

 

5