Document:

exv10w7

Exhibit 10.7

SHAREHOLDERS AGREEMENT

     This SHAREHOLDERS AGREEMENT dated as of
[                    ], 2009 (this “Agreement”), among Artio
Global Investors Inc., a Delaware corporation (the “Company”), and Julius Baer Holding Ltd., a
company organized under the laws of Switzerland (“JBH”), and each other holder from time to time of
Class C Stock (as defined below) that hereafter becomes a party hereto (JBH and each such other
holder being herein called a “Shareholder”).

W I T N E S S E T H :

     WHEREAS, JBH holds shares of the Company’s class C common stock, par value $0.01 per share
(the “Class C Stock”);

     WHEREAS, pursuant to the Amended and Restated Certificate of Incorporation of the Company (the
“Certificate of Incorporation”), any holder of Class C Common Stock shall be entitled to a vote per
share for each share held of record on all matters on which stockholders generally are entitled to
vote equal to the greater of (a) one vote for each share of Class C Common Stock held of record by
such holder and (b) an amount equal to (i) 25% of the sum of (x) the total number of shares of the
Company’s class A common stock, par value $0.001 per share (the “Class A Stock”), then outstanding
and (y) the total number of shares of the Company’s class B common stock, par value $0.001 per
share (the “Class B Stock”), then outstanding, divided by (ii) the total number of shares of Class
C Common Stock then outstanding; and

     WHEREAS, the parties hereto desire to enter into this Agreement to govern certain of their
rights, duties and obligations after consummation of the initial public offering of shares of stock
of the Company (the “IPO”).

     NOW, THEREFORE, in consideration of the covenants and agreements contained herein and for
other good and valuable consideration, the receipt and sufficiency of which are hereby
acknowledged, intending to be legally bound hereby, the parties hereto agree as follows:

     1. Composition of the Board. (a) Following the consummation of the IPO, (i) for so
long as the Aggregate Ownership of JBH and the JBH Subsidiaries (as defined below) is equal to or
greater than 10%, JBH shall have the right to either (A) designate one director of the Board of
Directors of the Company (the “Board”) or (B) appoint a representative (a “Board Representative”)
to attend each meeting of the Board as a non-voting observer, whether such meeting is conducted in
person or by teleconference, and (ii) after the Aggregate Ownership of JBH and the JBH Subsidiaries
falls below 10%, then, until the later of the date

 

 

upon which (A) the Aggregate Ownership of JBH and the JBH Subsidiaries falls below 5% and (B)
that certain Transition Services Agreement between JBH and the Company dated as of [                    ],
2009 (as amended from time to time) is terminated or expires according to its terms, JBH shall have
the right to appoint a Board Representative. For the purposes of this Agreement, “Aggregate
Ownership” means the percentage of the outstanding Class A Common Stock “beneficially owned” (as
such term is defined in Rule 13d-3 of the Securities Exchange Act of 1934, as amended) (without
duplication) by JBH and the JBH Subsidiaries as of the date of such calculation, calculated
assuming all New Class A Units of Artio Global Holdings LLC held by each of Richard C. Pell and
Rudolph-Riad Younes and their respective successors and assigns and all shares of Class C Stock
owned by JBH and the JBH Subsidiaries are exchanged or converted, as applicable, for shares of
Class A Stock. “JBH Subsidiary” means any subsidiary of JBH that holds Class C Stock and is a
party to this Agreement.

          (b) The Company agrees to use its best efforts to cause the individual designated pursuant to
Section 1(a)(i)(A) to be nominated to serve as a director on the Board, and to take all other
necessary actions (including calling a special meeting of the Board and/or shareholders) to ensure
that the individual designated pursuant to Section 1(a)(i)(A) serves as a director of the Company.

     2. Vacancy. (a) If, as a result of death, permanent disability, retirement,
resignation, removal (with or without cause) or otherwise, the Board seat held by the individual
designated pursuant to Section 1(a)(i)(A) becomes vacant, the Shareholder may, subject to the
provisions of Section 1(a)(i)(A), designate pursuant to Section 1(a)(i)(A) another individual (the
“Replacement Nominee”) to fill such vacancy and serve as a director of the Company.

          (b) The Company agrees to use its best efforts to cause the Replacement Nominee to be
nominated to serve as a director on the Board, and to take all other necessary actions (including
calling a special meeting of the Board and/or shareholders) to ensure that the Replacement Nominee
succeeds to the Board seat vacated by the individual designated pursuant to Section 1(a)(i)(A).

     3. Board Observer. A Board Representative appointed pursuant to Section 1(a)(i)(B) or
1(a)(ii) shall have the right to present matters for consideration by the Board and to speak on
matters presented by others at such meetings of the Board. Subject to the confidentiality
provisions of this Section 3 and any applicable related person, recusal or similar policy or
practice of the Company, the Company shall cause the Board Representative to be provided with all
communications and materials that are provided by the Company or its consultants to the members of
the Board generally, at the same time and in the same manner that such communications and materials
are provided to such members, including all notices, board packages, reports, presentations,
minutes and consents. The Board Representative shall be entitled to meet and consult with

2

 

the senior executive management team of the Company on a quarterly basis to discuss the
quarterly and annual business plans of the Company and the Company’s subsidiaries and to review the
progress of the Company and the Company’s subsidiaries in achieving their plans. In addition, upon
request to the chief executive officer of the Company, the members of the senior executive
management team of the Company shall make themselves available during normal business hours to meet
with the Board Representative on an interim basis, as the Board Representative may reasonably
request from time to time, and as would not unreasonably interfere with the duties of the members
of the senior executive management team of the Company.

     Notwithstanding any other provision of this Section 3 to the contrary, the Company or the
Board shall have the right to keep confidential from the Board Representative for such period of
time as the Company or the Board deems reasonable any information and copies of written materials
the Company is required by law or agreement with a third party to keep confidential. As a
condition of the exercise of his or her rights under this Section 3, the Board Representative shall
enter into such agreements or undertakings with the Company to maintain the confidentiality of
information provided to them in connection with the exercise of such rights as the Company may
reasonably request.

     4. Voting Agreement. To the extent the Shareholders are entitled under the
Certificate of Incorporation to a vote per share of Class C Stock greater than one vote for each
share of Class C Stock held of record by the Shareholders at any meeting of the common stockholders
of the Company and at any adjournment thereof, each Shareholder hereby agrees to vote (or cause to
be voted) in person or by proxy, such excess votes on the same basis and in the same proportion as
the votes cast by holders of the Class A Stock and Class B Stock. Any such excess vote shall be
cast in accordance with the procedures applicable thereto so as to ensure that it is duly counted
for purposes of determining that a quorum is present and for purposes of recording the results of
such vote.

     5. Entire Agreement. This Agreement constitutes the entire agreement among the
parties hereto and supersedes all other prior agreements, both oral and written, among the parties
hereto with respect to the subject matter hereof.

     6. No Third Party Beneficiaries. Nothing in this Agreement, expressed or implied, is
intended to confer on any person other than the parties hereto, and their respective heirs,
successors, legal representatives and permitted assigns, any rights or remedies hereunder.

     7. Assignment. Neither this Agreement nor any of the rights or obligations hereunder
shall be assigned by any party hereto without the prior written consent of the other party.
Notwithstanding the immediately preceding

3

 

sentence, JBH may assign its rights hereunder in whole or in part to one or more JBH
Subsidiaries, provided that each such JBH Subsidiary (a) executes and delivers a Joinder Agreement
(as defined in Section 15), and (b) remains at all times thereafter a subsidiary of JBH. Subject
to the preceding sentence, this Agreement will be binding upon, inure to the benefit of and be
enforceable by the parties and their respective successors and permitted assigns.

     8. Waiver; Amendment. No provision of this Agreement may be waived unless such waiver
is in writing and signed by the party against whom the waiver is to be effective. No provision of
this Agreement may be amended unless such amendment is approved in writing by the Company and the
Shareholders.

     9. Counterparts. This Agreement may be executed (including by facsimile transmission)
with counterpart pages or in one or more counterparts, each of which shall be deemed to be an
original and all of which shall, taken together, be deemed to be one and the same instrument.

     10. Governing Law. This Agreement shall be governed by, construed and enforced in
accordance with, the laws of the State of New York, without regard to the conflicts of laws rules
of such state.

     11. Consent to Jurisdiction. The parties hereto agree that any suit, action or
proceeding seeking to enforce any provision of, or based on any matter arising out of or in
connection with, this Agreement or the transactions contemplated hereby shall be brought in the
United States District Court for the Southern District of New York or any New York State court
sitting in the Borough of Manhattan, so long as one of such courts shall have subject matter
jurisdiction over such suit, action or proceeding, and that any cause of action arising out of this
Agreement shall be deemed to have arisen from a transaction of business in the State of New York,
and each of the parties hereby irrevocably consents to the jurisdiction of such courts (and of the
appropriate appellate courts therefrom) in any such suit, action or proceeding and irrevocably
waives, to the fullest extent permitted by law, any objection that it may now or hereafter have to
the laying of the venue of any such suit, action or proceeding in any such court or that any such
suit, action or proceeding brought in any such court has been brought in an inconvenient forum.
Process in any such suit, action or proceeding may be served on any party anywhere in the world,
whether within or without the jurisdiction of any such court.

     12. Waiver of Jury Trial. EACH OF THE PARTIES HERETO HEREBY IRREVOCABLY WAIVES ANY
AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL PROCEEDING ARISING OUT OF OR RELATED TO THIS AGREEMENT
OR THE TRANSACTIONS CONTEMPLATED HEREBY.

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     13. Severability. The provisions of this Agreement shall be deemed severable and the
invalidity or unenforceability of any provision shall not affect the validity or enforceability of
the other provisions hereof. If any provision of this Agreement, or the application thereof to any
person or entity or any circumstance, is found to be invalid or unenforceable in any jurisdiction,
(a) a suitable and equitable provision shall be substituted therefor in order to carry out, so far
as may be valid and enforceable, the intent and purpose of such invalid or unenforceable provision
and (b) the remainder of this Agreement and the application of such provision to other persons,
entities or circumstances shall not be affected by such invalidity or unenforceability, nor shall
such invalidity or unenforceability affect the validity or enforceability of such provision, or the
application thereof, in any other jurisdiction.

     14. Effective Time. This Agreement shall become effective upon the closing of the
IPO.

     15. Joinder. JBH shall cause all its successors and permitted assigns and each other
JBH Subsidiary that is a holder of any Class C Stock to execute and deliver to the Company an
agreement to be bound by this Agreement as a Shareholder, in form and substance reasonably
satisfactory to the Company (a “Joinder Agreement”) prior to or contemporaneously with any such JBH
Subsidiary or permitted assign becoming a holder of Class C Stock. No Shareholder shall transfer
any shares of Class C Stock to a JBH Subsidiary unless such JBH Subsidiary executes and delivers a
Joinder Agreement and any purported transfer in violation of this Section 15 shall be deemed to be
null and void ab initio.

[Remainder of this page intentionally left blank]

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     IN WITNESS WHEREOF, the parties have caused this Agreement to be duly executed and delivered,
all as of the date first set forth above.

	 	 	 	 	 	 	 
	 	 	ARTIO GLOBAL INVESTORS INC.
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 

Name:
	 	 
	 

	 	 	 	Title:	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 

Name:
	 	 
	 

	 	 	 	Title:	 	 

	 	 	 	 	 	 	 
	 	 	JULIUS BAER HOLDING LTD.
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 

Name:
	 	 
	 

	 	 	 	Title:	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 

Name:
	 	 
	 

	 	 	 	Title:	 	 
	 
	 	 	 	 	 	 
	 	 	acting together as proxy for Julius Baer Holding Ltd. pursuant to a proxy dated
August 13, 2009.	 	 

[Signature page to the JBH Shareholders Agreement]exv10w18

Exhibit 10.18

Base Awards

THE ARTIO GLOBAL INVESTORS INC.

2009 STOCK INCENTIVE PLAN

RESTRICTED STOCK UNIT AWARD AGREEMENT

          THIS RESTRICTED STOCK UNIT AWARD AGREEMENT (the “Agreement”), as of the “Grant Date” shown
below, is made by and between Artio Global Investors Inc., a Delaware corporation (the “Company”),
and you, an employee of the Company or an Affiliate (“you” or the “Grantee”).

Section 1. Grant of Restricted Stock Unit Award

     (a) The Company hereby grants to the Grantee the number of Restricted Stock Units shown below,
on the following terms and conditions and subject to the provisions of the Artio Global Investors
Inc. 2009 Stock Incentive Plan (as it may be amended from time to time, the “Plan”), which is
incorporated herein by reference. In the event there is a conflict between the provisions of the
Plan and this Agreement, the provisions of the Plan will govern. Unless otherwise defined in this
Agreement, capitalized terms will have the same meanings as set forth in the Plan.

	 	 	 	 	 
	 

	 	Number of Restricted Stock Units:
	 	[                                   &nbs
p;    ]
	 

	 	Grant Date:
	 	[                    , 2009]

Section 2. Terms and Conditions of Award

     The grant of Restricted Stock Units shall be subject to the following terms, conditions and
restrictions:

     (a) Lapse of Restrictions and Delivery of Shares. Each Restricted Stock Unit entitles you to
receive one Share of the Company’s common stock upon the lapse of restrictions as set forth in this
Agreement. All restrictions with respect to 100% of the Restricted Stock Units granted under this
agreement shall lapse on February 5, 2010 (the “Lapse Date”), provided you are continuously
employed by or providing services to the Company or an Affiliate from the date hereof through the
Lapse Date. If you have satisfied the foregoing conditions, the Company will deliver to you the
number of Shares equal to the number of Restricted Stock Units on or as soon as practicable
following the Lapse Date, except as otherwise provided in paragraph (b) below together with a
number of Shares the value of which represents dividend equivalent payments made, if any, in
respect of such Restricted Stock Units.

     (b) Termination of Employment. If your employment or service terminates with the Company and
its Affiliates on or before the Lapse Date, the Restricted Stock Units granted under this Agreement
or any portion thereof shall become free of such restrictions or be forfeited as follows:

 

 

     (i) Termination Without Cause or Due to Disability or Death. If your
employment is terminated without Cause (as defined below) or due to your Disability (as
defined below) or death, the restrictions on the Restricted Stock Units shall lapse in
accordance with paragraph (a) above.

     (ii) Termination Due to Cause or Resignation If your employment is terminated
by the Company or an Affiliate for Cause, or if you voluntarily terminate your employment,
all such Restricted Stock Units then held by you (or your legatees or personal
representative) shall be forfeited as of the date of such termination.

     (iii) Termination Resulting from Change in Control. If your employment is
terminated as a result of a Change in Control as that term is defined in the Artio Global
Investors Inc. 2009 Stock Incentive Plan, as amended from time to time, all restrictions on
the Restricted Stock Units shall lapse as of such Change in Control.

     (iv) Termination Resulting from Retirement. If your employment is terminated
as a result of your retirement, the Committee, in its sole discretion, will determine the
effect, if any, on restrictions on the Restricted Stock Units.

     (v) Definitions.

     For purposes of this Agreement, “Disability” means: (i) you are unable to engage in any
substantial gainful activity by reason of any medically determinable physical or mental
impairment that can be expected to result in death or can be expected to last for a
continuous period of not less than 12 months; (ii) you are, by reason of any medically
determinable physical or mental impairment that can be expected to result in death or can be
expected to last for a continuous period of not less than 12 months, receiving income
replacement benefits for a period of not less than three months under an employer-sponsored
accident and health plan covering you; or (iii) you are determined to be totally disabled by
the Social Security Administration.

     For purposes of this Agreement, “Cause” shall have the meaning as set forth in any
employment agreement between you and the Company. If you do not have an employment
agreement, or such employment agreement does not define Cause, “Cause” shall mean: (A)
willful failure to follow legitimate directions of your supervisors after both notice and 30
days’ allowance to cure such failure was given; (B) neglect or failure in any material
respect to perform or to discharge your duties; (C) gross negligence in the performance of
your responsibilities; (D) any act or acts constituting a felony or any crime involving
fraud, moral turpitude or misrepresentation, or any violation of securities or other laws,
regulations or rules governing the Company’s or its affiliates’ business; (E) any act or
omission which in the reasonable judgment of the Company could reasonably be expected to
injure the reputation, business or business relationships of the Company or its affiliates;
(F) any breach of the policies of the Company and its affiliates with respect to the conduct
of its business or the trading of securities; or (G) any material breach of any agreement
between the Company and you by which you may be bound.

 - 2 - 

 

     (c) Restrictions. Restricted Stock Units, and any interest therein, may not be sold,
assigned, transferred, pledged, hypothecated or otherwise disposed of, except by will or the laws
of descent and distribution prior to the lapse of restrictions set forth in this Agreement.

     (d) Ownership of Shares. In accordance with the terms and conditions set forth in the Plan
and this Agreement, unless and until both the restrictions have lapsed and the Company Shares have
been distributed, you shall possess none of the incidents of ownership of Company Shares.

     (e) Dividend Equivalent Rights. Subject to the restrictions set forth in the Plan and this
Agreement, you shall have the right to be credited with dividend equivalent payments on the
Restricted Stock Units equal in amount to the dividends declared and paid on Company Shares on the
basis of one Restricted Stock Unit equal to one Company Share. The dividend equivalent payments
shall be subject to such vesting and or forfeiture provisions as may apply to the Restricted Stock
Units for which the dividend equivalent payments are credited pursuant to Sections 2(a) and (b)
above.

     (f) Taxes. You are required to pay to the Company any required withholding taxes due upon the
lapse of any restrictions with respect to the Restricted Stock Units. The Company in its
discretion may withhold Company Shares issuable upon the lapse of restrictions of the Restricted
Stock Units (or from any compensation or other amount owing to you) the amount (in cash, Shares,
other securities or other Awards) of required withholding taxes. Further, the Company may take
such other action (including, without limitation, providing for elective payment of such amounts in
cash or Shares by you) as may be necessary in the opinion of the Company to satisfy all obligations
for the payment of such taxes.

     (h) Section 409A of the Code. This Award of Restricted Stock Units and this Agreement shall
comply with the requirements of Section 409A of the Code and any guidance issued thereunder,
including without limitation the six month delay for payments of deferred compensation to “key
employees” upon separation from service pursuant to Section 409A(a)(2)(B)(i) of the Code (if
applicable), and this Agreement shall be interpreted accordingly. The Committee, in its
discretion, reserves the right to amend, terminate, restructure or replace this Restricted Stock
Units Award and this Agreement to comply with Section 409A of the Code.

Section 3. Miscellaneous

     (a) Notices. Any and all notices, designations, consents, offers, acceptances and any other
communications provided for herein shall be given in writing and shall be delivered either
personally or by registered or certified mail, postage prepaid, which shall be addressed, in the
case of the Company to the General Counsel of the Company at the principal office of the Company
and, in the case of the Grantee, to Grantee’s address appearing on the books of the Company or to
Grantee’s residence or to such other address as may be designated in writing by the Grantee.
Notwithstanding the foregoing, the Company may in its discretion implement procedures for the use
and delivery of electronic notices for communications provided herein.

 - 3 - 

 

     (b) No Right to Continued Employment. Nothing in the Plan or in this Agreement shall confer
upon you any right to continue in the employ of the Company or any Affiliate or shall interfere
with or restrict in any way the right of the Company and its Affiliates, which is hereby expressly
reserved, to remove, terminate or discharge you at any time for any reason whatsoever, with or
without Cause.

     (c) Bound by Plan. By signing this Agreement (including without limitation by electronic
acceptance), you acknowledge that you have received a copy of the Plan and have had an opportunity
to review the Plan and agree to be bound by all the terms and provisions of the Plan.

     (d) Successors. The terms of this Agreement shall be binding upon and inure to the benefit of
the Company, its successors and assigns, and of you and your beneficiaries, executors,
administrators, heirs and successors.

     (e) Entire Agreement. This Agreement and the Plan contain the entire agreement and
understanding of the parties hereto with respect to the subject matter contained herein and therein
and supersede all prior communications, representations and negotiations in respect thereto.

     (f) Validity/Invalidity. The invalidity or unenforceability of any particular provision
hereof shall not affect the other provisions hereof, and this Agreement shall be construed in all
respects as if such invalid or unenforceable provision had been omitted.

     (g) Modifications. No change, modification or waiver of any provision of this Agreement shall
be valid unless the same be in writing and signed by the parties hereto.

     (h) Headings. The headings of the Sections hereof are provided for convenience only and are
not to serve as a basis for interpretation or construction, and shall not constitute a part, of
this Agreement.

     (i) Counterparts. This Agreement may be executed in counterparts (including without
limitation by electronic acceptance), each of which shall be deemed an original, but all of which
together shall constitute one and the same instrument.

     (j) Governing Law. This Agreement and your rights hereunder shall be construed and determined
in accordance with the laws of the State of New York, without application of the conflicts of laws
principles thereof.

 - 4 - 

 

The parties hereby have entered into this Agreement as of the first date set forth above.

	 	 	 	 	 	 	 
	 	 	ARTIO GLOBAL INVESTORS INC.	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	[Name]	 	 
	 

	 	 	 	[Title]	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	[Name]	 	 
	 

	 	 	 	[Title]	 	 
	 
	 	 	 	 	 	 
	 	 	[GRANTEE NAME]	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 

	 	 

 - 5 - 

 

Non-base Awards

THE ARTIO GLOBAL INVESTORS INC.

2009 STOCK INCENTIVE PLAN

RESTRICTED STOCK UNIT AWARD AGREEMENT

          THIS RESTRICTED STOCK UNIT AWARD AGREEMENT (the “Agreement”), as of the “Grant Date” shown
below, is made by and between Artio Global Investors Inc., a Delaware corporation (the “Company”),
and you, an employee of the Company or an Affiliate (“you” or the “Grantee”).

Section 1. Grant of Restricted Stock Unit Award

     (a) The Company hereby grants to the Grantee the number of Restricted Stock Units shown below,
on the following terms and conditions and subject to the provisions of the Artio Global Investors
Inc. 2009 Stock Incentive Plan (as it may be amended from time to time, the “Plan”), which is
incorporated herein by reference. In the event there is a conflict between the provisions of the
Plan and this Agreement, the provisions of the Plan will govern. Unless otherwise defined in this
Agreement, capitalized terms will have the same meanings as set forth in the Plan.

	 	 	 	 	 
	 

	 	Number of Restricted Stock Units:
	 	[                                   &nbs
p;    ]
	 

	 	Grant Date:
	 	[                    , 2009]

Section 2. Terms and Conditions of Award

     The grant of Restricted Stock Units shall be subject to the following terms, conditions and
restrictions:

     (a) Lapse of Restrictions and Delivery of Shares. Each Restricted Stock Unit entitles you to
receive one Share of the Company’s common stock upon the lapse of restrictions as set forth in this
Agreement. Except as may otherwise be provided herein, restrictions with respect to 20% of the
Restricted Stock Units granted under this Agreement shall lapse on each anniversary of the Grant
Date (each a “Lapse Date”), ending on the fifth anniversary of the Grant Date, so long as you are
employed by or providing services to the Company or an Affiliate as of the relevant Lapse Date. If
you have satisfied the foregoing conditions, the Company will deliver to you the number of Shares
equal to the number of Restricted Stock Units as to which restrictions lapse for each Lapse Date,
on or as soon as practicable following such Lapse Date together with a number of Shares the value
of which represents dividend equivalent payments made, if any, in respect of such Restricted Stock
Units.

     (b) Termination of Employment. If your employment or service terminates with the Company and
its Affiliates on or before the Lapse Date, the Restricted Stock Units granted under this Agreement
or any portion thereof shall become free of such restrictions or be forfeited as follows:

 

 

     (i) Termination Without Cause or Due to Disability or Death. If your
employment is terminated without Cause (as defined below) or due to your Disability (as
defined below) or death, the restrictions on the Restricted Stock Units shall lapse in
accordance with paragraph (a) above.

     (ii) Termination Due to Cause or Resignation If your employment is terminated
by the Company or an Affiliate for Cause, or if you voluntarily terminate your employment,
all such Restricted Stock Units then held by you (or your legatees or personal
representative) shall be forfeited as of the date of such termination.

     (iii) Termination Resulting from Change in Control. If your employment is
terminated as a result of a Change in Control as that term is defined in the Artio Global
Investors Inc. 2009 Stock Incentive Plan, as amended from time to time, all restrictions on
the Restricted Stock Units shall lapse as of such Change in Control.

     (iv) Termination Resulting from Retirement. If your employment is terminated
as a result of your retirement, the Committee, in its sole discretion, will determine the
effect, if any, on restrictions on the Restricted Stock Units.

     (v) Definitions.

     For purposes of this Agreement, “Disability” means: (i) you are unable to engage in any
substantial gainful activity by reason of any medically determinable physical or mental
impairment that can be expected to result in death or can be expected to last for a
continuous period of not less than 12 months; (ii) you are, by reason of any medically
determinable physical or mental impairment that can be expected to result in death or can be
expected to last for a continuous period of not less than 12 months, receiving income
replacement benefits for a period of not less than three months under an employer-sponsored
accident and health plan covering you; or (iii) you are determined to be totally disabled by
the Social Security Administration.

     For purposes of this Agreement, “Cause” shall have the meaning as set forth in any
employment agreement between you and the Company. If you do not have an employment
agreement, or such employment agreement does not define Cause, “Cause” shall mean: (A)
willful failure to follow legitimate directions of your supervisors after both notice and 30
days’ allowance to cure such failure was given; (B) neglect or failure in any material
respect to perform or to discharge your duties; (C) gross negligence in the performance of
your responsibilities; (D) any act or acts constituting a felony or any crime involving
fraud, moral turpitude or misrepresentation, or any violation of securities or other laws,
regulations or rules governing the Company’s or its affiliates’ business; (E) any act or
omission which in the reasonable judgment of the Company could reasonably be expected to
injure the reputation, business or business relationships of the Company or its affiliates;
(F) any breach of the policies of the Company and its affiliates with respect to the conduct
of its business or the trading of securities; or (G) any material breach of any agreement
between the Company and you by which you may be bound.

2

 

     Notwithstanding the foregoing, if your employment with the Company or an Affiliate terminates,
and you are party to a formal Employment Agreement with the Company or an Affiliate, your rights
with respect to the Restricted Stock Units granted under this Agreement shall be governed by such
Employment Agreement.

     (c) Restrictions. Restricted Stock Units, and any interest therein, may not be sold,
assigned, transferred, pledged, hypothecated or otherwise disposed of, except by will or the laws
of descent and distribution prior to the lapse of restrictions set forth in this Agreement.

     (d) Ownership of Shares; Lock-Up Period. In accordance with the terms and conditions set
forth in the Plan and this Agreement, unless and until both the restrictions have lapsed and the
Company Shares have been distributed, you shall possess none of the incidents of ownership of
Company Shares. You agree that as a condition to receipt of this Award, you will not sell, or
otherwise transfer or dispose of in any manner, any Shares held or underlying this Award for such
time as may be requested by the Company and the underwriter for restrictions on trading or transfer
following the effective date of the Company’s initial public offering, which may be up to a period
of 180 days from such effective date (the “Lock-Up Period”). The Company may require you to sign
an agreement that you have no right to sell or impose stop-transfer instruction with respect to the
Shares subject to the Lock-Up Period.

     (e) Dividend Equivalent Rights. Subject to the restrictions set forth in the Plan and this
Agreement, you shall have the right to be credited with dividend equivalent payments on the
Restricted Stock Units equal in amount to the dividends declared and paid on Company Shares on the
basis of one Restricted Stock Unit equal to one Company Share. The dividend equivalent payments
shall be subject to such vesting and/or forfeiture provisions as may apply to the Restricted Stock
Units for which the dividend equivalent payments are credited pursuant to Sections 2(a) and (b)
above.

     (f) Taxes. You are required to pay to the Company any required withholding taxes due upon the
lapse of any restrictions with respect to the Restricted Stock Units. The Company in its
discretion may withhold Company Shares issuable upon the lapse of restrictions of the Restricted
Stock Units (or from any compensation or other amount owing to you) the amount (in cash, Shares,
other securities or other Awards) of required withholding taxes. Further, the Company may take
such other action (including, without limitation, providing for elective payment of such amounts in
cash or Shares by you) as may be necessary in the opinion of the Company to satisfy all obligations
for the payment of such taxes.

     (h) Section 409A of the Code. This Award of Restricted Stock Units and this Agreement shall
comply with the requirements of Section 409A of the Code and any guidance issued thereunder,
including without limitation the six month delay for payments of deferred compensation to “key
employees” upon separation from service pursuant to Section 409A(a)(2)(B)(i) of the Code (if
applicable), and this Agreement shall be interpreted accordingly. The Committee, in its
discretion, reserves the right to amend, terminate, restructure

3

 

or replace this Restricted Stock
Units Award and this Agreement to comply with Section 409A of the Code.

Section 3. Miscellaneous

     (a) Notices. Any and all notices, designations, consents, offers, acceptances and any other
communications provided for herein shall be given in writing and shall be delivered either
personally or by registered or certified mail, postage prepaid, which shall be addressed, in the
case of the Company to the General Counsel of the Company at the principal office of the Company
and, in the case of the Grantee, to Grantee’s address appearing on the books of the Company or to
Grantee’s residence or to such other address as may be designated in writing by the Grantee.
Notwithstanding the foregoing, the Company may in its discretion implement procedures for the use
and delivery of electronic notices for communications provided herein.

     (b) No Right to Continued Employment. Nothing in the Plan or in this Agreement shall confer
upon you any right to continue in the employ of the Company or any Affiliate or shall interfere
with or restrict in any way the right of the Company and its Affiliates, which is hereby expressly
reserved, to remove, terminate or discharge you at any time for any reason whatsoever, with or
without Cause.

     (c) Bound by Plan. By signing this Agreement (including without limitation by electronic
acceptance), you acknowledge that you have received a copy of the Plan and have had an opportunity
to review the Plan and agree to be bound by all the terms and provisions of the Plan.

     (d) Successors. The terms of this Agreement shall be binding upon and inure to the benefit of
the Company, its successors and assigns, and of you and your beneficiaries, executors,
administrators, heirs and successors.

     (e) Entire Agreement. This Agreement and the Plan contain the entire agreement and
understanding of the parties hereto with respect to the subject matter contained herein and therein
and supersede all prior communications, representations and negotiations in respect thereto.

     (f) Validity/Invalidity. The invalidity or unenforceability of any particular provision
hereof shall not affect the other provisions hereof, and this Agreement shall be construed in all
respects as if such invalid or unenforceable provision had been omitted.

     (g) Modifications. No change, modification or waiver of any provision of this Agreement shall
be valid unless the same be in writing and signed by the parties hereto.

     (h) Headings. The headings of the Sections hereof are provided for convenience only and are
not to serve as a basis for interpretation or construction, and shall not constitute a part, of
this Agreement.

     (i) Counterparts. This Agreement may be executed in counterparts (including without
limitation by electronic acceptance), each of which shall be deemed an original, but all of which
together shall constitute one and the same instrument.

4

 

     (j) Governing Law. This Agreement and your rights hereunder shall be construed and determined
in accordance with the laws of the State of New York, without application of the conflicts of laws
principles thereof.

The parties hereby have entered into this Agreement as of the first date set forth above.

	 	 	 	 	 	 	 
	 	 	ARTIO GLOBAL INVESTORS INC.	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	[Name]	 	 
	 

	 	 	 	[Title]	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	[Name]	 	 
	 

	 	 	 	[Title]	 	 
	 
	 	 	 	 	 	 
	 	 	[GRANTEE NAME]	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 

	 	 

5

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