UNITED STATES OMB APPROVAL
  SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101
  Washington, D.C.  20549 Expires: February 28, 2014
  FORM 144

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  NOTICE OF PROPOSED SALE OF SECURITIES SEC USE ONLY
  PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

DOCUMENT SEQUENCE NO.

 

   

CUSIP NUMBER

 

ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker

WORK LOCATION

 

 

1(a) NAME OF ISSUER (Please type or print) (b) IRS IDENT. NO. (c) S.E.C. FILE NO. (e) TELEPHONE NO.
Artio Global Investors Inc. 13-6174048 1-34457 AREA CODE NUMBER
      212 297-3600
1(d) ADDRESS OF ISSUER STREET         CITY               STATE          ZIP CODE 
  330 Madison Avenue           New York NY    10017 
2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD   (b) RELATIONSHIP TO
ISSUER		 (c) ADDRESS STREET CITY STATE ZIP CODE
 Duane Kullberg     Director  330 Madison Ave.  New York NY 10017

 

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3 (a) (b) sec use only (c) (d) (e) (f) (g)
Title of the
Class of
Securities
to be Sold		 Name and Address of Each Broker Through Whom the
Securities are to be Offered or Each Market Maker
who is Acquiring the Securities		 Broker-Dealer
File Number		 Number of Shares
or Other Units
to be Sold
(See instr. 3(c))		 Aggregate Market
Value
(See instr. 3(d))		 Number of Shares
or Other Units
Outstanding
(See instr. 3(e))		 Approximate
Date of sale
(See instr. 3(f))
(MO. DAY YR.)		 Name of Each
Securities
Exchange
(See instr. 3(g))

Common

stock

BNY Mellon Capital Markets LLC, 480 Washington
Blvd.

Jersey City, NJ 07310

   9,700 $21,825
(as of 11/8/12)		 59,983,543
(as of 10/31/12)		 11/09/12 NYSE

 

INSTRUCTIONS:

1.(a)Name of Issuer
(b)Issuer’s I.R.S. Identification Number
(c)Issuer’s S.E.C. file number, if any
(d)Issuer’s address, including zip code
(e)Issuer’s telephone number, including area code

 

2.(a)Name of Person for whose account the securities are to be sold
(b)Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
(c)Such person’s address, including zip code

 

3.(a)Title of the class of securities to be sold
(b)Name and address of each broker through whom the securities are intended to be sold
(c)Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d)Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
(e)Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
(f)Approximate date on which the securities are to be sold
(g)Name of each securities exchange, if any, on which the securities are intended to be sold

 

Potential persons who are to respond to the collection of information contained in this form are not required to

respond unless the form displays a currently valid OMB control number.

 

SEC 1147 (08-07)

 
 

  

TABLE I – SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

Title of  Date you   Name of Person from Whom Acquired Amount of Date of  
the Class Acquired Nature of Acquisition Transaction (If gift, also give date donor acquired) Securities Acquired Payment Nature of Payment

COMMON STOCK

 

 

 5/17/12  Shares acquired as director     Artio Global Investors Inc. 9,700 11/09/12 Cash

INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 

 

 

TABLE II – SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller Title of Securities Sold Date of Sale

Amount of

Securities Sold

 Gross Proceeds
None            

REMARKS:

INSTRUCTIONS:   ATTENTION:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

 

   The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written plan or given trading instructions to satisfy Rule 10b5-1 under the exchange act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date
____________November 9, 2012_____________    

DATE OF NOTICE

 

    
 
     /s/ Duane Kullberg
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,     (SIGNATURE)
IF RELYING ON RULE 10B5-1    
     

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.

 

ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

 

Potential persons who are to respond to the collection of information contained in this form are not required to

Respond unless the form displays a currently valid OMB control number.

 

SEC 1147 (02-08)