Delaware
|
1-34457
|
13-6174048
|
||
(State
or other jurisdiction
|
(Commission
File Number)
|
(IRS
Employer
|
||
of
incorporation)
|
Identification
No.)
|
330
Madison Ave.
|
|
|
New
York, NY
|
10017
|
|
(Address
of principal executive offices)
|
(Zip
Code)
|
|
¨
|
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
|
|
¨
|
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
|
|
¨
|
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
|
|
¨
|
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
|
Current Dollar Value of Shares That
|
||||
Would Vest
|
||||
Named Executive Officer
|
Upon Maximum Performance
|
|||
Richard
C. Pell
|
||||
Chairman,
Chief Executive Officer, and Chief Investment Officer
|
$
|
2,555,000 | ||
Rudolph-Riad
Younes
|
||||
Head
of International Equity
|
$
|
2,555,000 | ||
Glen
Wisher
|
||||
President
|
$
|
1,048,250 | ||
Tony
Williams
|
||||
Chief
Operating Officer
|
$
|
1,076,260 | ||
Francis
Harte
|
||||
Chief
Financial Officer
|
|
$704,250 |
(d)
|
Exhibits.
|
Exhibit
No.
|
Description
|
|
Exhibit
99.1
|
News
Release issued January 28,
2011
|
Artio
Global Investors Inc.
|
||
Date: January
28, 2011
|
By:
|
/s/ Adam Spilka
|
Name:
|
Adam
Spilka
|
|
Title:
|
General
Counsel and Corporate
Secretary
|