ARTIO GLOBAL INVESTORS INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows, 14 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-04-24: Reporting owner Younes Rudolph-Riad; Form 4; Security New Class A Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-04-24: Reporting owner Pell Richard; Form 4; Security New Class A Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-06-09: Reporting owner Younes Rudolph-Riad; Form 4; Security New Class A Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-06-09: Reporting owner Younes Rudolph-Riad; Form 4; Security New Class A Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-04-24 | Younes Rudolph-Riad Officer (Head of International Equities) | 4 | New Class A Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −600,000 0 owned after | $0.00 | 2012-04-26 | |
| 2012-04-24 | Pell Richard Director, Officer (Chairman, CEO & CIO) | 4 | New Class A Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −600,000 0 owned after | $0.00 | 2012-04-26 | |
| 2010-06-09 | Younes Rudolph-Riad Officer (Head of International Equity), 10% Owner | 4 | New Class A Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,639,994 600,000 owned after | $0.00 | 2010-06-11 | |
| 2010-06-09 | Younes Rudolph-Riad Officer (Head of International Equity), 10% Owner | 4 | New Class A Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,560,006 0 owned after | $0.00 | 2010-06-11 | |
| 2010-06-09 | Pell Richard Director, Officer (CEO & Chief Investment Officer), 10% Owner | 4 | New Class A Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,080,006 600,000 owned after | $0.00 | 2010-06-11 | |
| 2010-06-09 | Pell Richard Director, Officer (CEO & Chief Investment Officer), 10% Owner | 4 | New Class A Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,119,994 0 owned after | $0.00 | 2010-06-11 | |
| 2010-05-18 | Pell Richard Director, Officer (CEO & Chief Investment Officer), 10% Owner | 4 | New Class A Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,000,000 1,680,006 owned after | $0.00 | 2010-05-20 | |
| 2010-05-18 | Younes Rudolph-Riad Officer (Head of International Equity), 10% Owner | 4 | New Class A Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000,000 3,239,994 owned after | $0.00 | 2010-05-20 | |
| 2009-09-29 | Younes Rudolph-Riad Officer (Head of International Equity) | 4 | New Class A Units Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,560,006 1,560,006 owned after | $0.00 | 2009-09-29 | |
| 2009-09-29 | Younes Rudolph-Riad Officer (Head of International Equity) | 4 | New Class A Units Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,439,994 7,439,994 owned after | $0.00 | 2009-09-29 | |
| 2009-09-29 | Younes Rudolph-Riad Officer (Head of International Equity) | 4 | New Class A Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,200,000 6,239,994 owned after | $0.00 | 2009-09-29 | |
| 2009-09-29 | Pell Richard Director, Officer (Chairman, CEO & CIO) | 4 | New Class A Units Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,119,994 3,119,994 owned after | $0.00 | 2009-09-29 | |
| 2009-09-29 | Pell Richard Director, Officer (Chairman, CEO & CIO) | 4 | New Class A Units Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,880,006 5,880,006 owned after | $0.00 | 2009-09-29 | |
| 2009-09-29 | Pell Richard Director, Officer (Chairman, CEO & CIO) | 4 | New Class A Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,200,000 4,680,006 owned after | $0.00 | 2009-09-29 |