0001144204-13-005890.txt : 20130204 0001144204-13-005890.hdr.sgml : 20130204 20130204175119 ACCESSION NUMBER: 0001144204-13-005890 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130201 FILED AS OF DATE: 20130204 DATE AS OF CHANGE: 20130204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harte Francis Michael CENTRAL INDEX KEY: 0001353134 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34457 FILM NUMBER: 13571318 MAIL ADDRESS: STREET 1: C/O GAM USA INC. STREET 2: 135 EAST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: 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 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 4 1 v333826_4.xml OWNERSHIP DOCUMENT X0306 4 2013-02-01 0 0001419178 Artio Global Investors Inc. ART 0001353134 Harte Francis Michael C/O ARTIO GLOBAL INVESTORS INC. 330 MADISON AVENUE NEW YORK NY 10017 0 1 0 0 Chief Financial Officer Class A common stock 2013-02-01 4 A 0 60508 0 A 299373 D Represents restricted stock units, each of which represents the right to receive one share of Class A common stock of Artio Global Investors Inc. (the "Issuer") upon the lapse of restrictions. These restrictions will lapse as to 1/3rd of the total award on each of the first three anniversaries of the date of grant (February 1, 2013), provided that Mr. Harte continues to be employed by the Issuer through the relevant lapse date. Includes (a) restricted stock units ("RSUs"), each of which represents the right to receive one share of Class A common stock of the Issuer upon the lapse of restrictions and (b) dividend equivalents related to RSUs, each of which represents the right to receive one share of Class A common stock of the Issuer upon the lapse of restrictions. The dividend equivalents were issued in the form of additional RSUs and are subject to the same vesting provisions as the underlying RSUs. /s/ Rachel Braverman, as Agent 2013-02-04