TEN COM TEN ENT JT TEN as tenants in common as tenants by the entireties as joint tenants with right of survivorship and not as tenants in common UNIF GIFT MIN ACT _______Custodian ________ (Cust) (Minor) under Uniform Gifts to Minors Act _________________ (State)

EX-4.1 9 dp14551_ex0401.htm EXHIBIT 4.1
Exhibit 4.1
 
 
 
 [GRAPHIC OMITTED] AGA [GRAPHIC OMITTED] Artio Global Investors INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE - ------------------------------- This Certifies That Is the owner of - ------------------------------- Fully paid and Non-Assessable Shares of Class A Common Stock, par value $0.001 per share, of ARTIO GLOBAL INVESTORS INC. transferable on the books of the Corporation in person or by duly authorized Attorney upon surrender of this Certificate properly endorsed. This Certificate is not valid unless countersigned and registered by the Transfer Agent and Register. WITNESS the facsimile seal of the Corporation and the facsimile signatures of its duly authorized officers. DATED:WITNESS [GRAPHIC OMITTED] [GRAPHIC OMITTED] [GRAPHIC OMITTED] Chairman Corporate Secretary CLASS A COMMON STOCK ----------- SHARES ----------- SEE REVERSE FOR CERTAIN DEFINITIONS CUSIP TO COME COUNTERSIGNED AND REGISTERED: AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC (NEW YORK, NY) TRANSFER AGENT AND REGISTRAR BY AUTHORIZED SIGNATURE - --------------------------------------------------------------------------------------------------- AMERICAN BANK NOTE COMPANY PRODUCTION COORDINATOR: CORBIN MATLOCK ###-###-#### 711 ARMSTRONG LANE PROOF OF JUNE 26, 2008 COLUMBIA, TENNESSEE 38401 ARTIO GLOBAL INVESTORS INC. (931) 388-3003 TSB 30300 FC LOT 1 - --------------------------------------------------------------------------------------------------- SALES: HOLLY GRONER ###-###-#### Operator: AP - --------------------------------------------------------------------------------------------------- / ETHER 7 / LIVE JOBS /A/ Artio 30300 FC LOT 1 Rev. 1 - --------------------------------------------------------------------------------------------------- PLEASE INITIAL THE APPROPRIATE SELECTION FOR THIS PROOF: OK AS OK WITH CHANGES MAKE CHANGES AND SEND ANOTHER PROOF IS Colors Selected for Printing: Logo prints PMS 7496 and black. Intaglio prints in PMS 7496. COLOR: This proof was printed from a digital file or artwork on a graphics quality, color laser printer. It is a good representation of the color as it will appear on the final product. However, it is not an exact color rendition, and the final printed product may appear slightly different from the proof due to the difference between the dyes and printing ink.
 
 
 
The Corporation will furnish without charge to each stockholder who so requests the powers, designations, preferences and relative participating, optional or other special rights of each class of stock or series thereof of the Corporation and the qualifications, limitations, or restrictions of such preferences and/or rights. Such request may be made to the Secretary of the Corporation at 330 Madison Avenue, New York, NY 10017. This certificate and the shares represented hereby are issued and shall be held subject to all the provisions of the Certificate of Incorporation and all amendments thereto and resolutions of the Board of Directors providing for the issue of shares of Preferred Stock (copies of which may be obtained from the Secretary of the Corporation), to all of which the holder of this certificate by acceptance hereof assents.

The following abbreviations, when used in the inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable laws or regulations:
 
TEN COM 
TEN ENT
JT TEN
  –
  –
  –
as tenants in common
as tenants by the entireties
as joint tenants with right
of survivorship and not as
tenants in common
  
UNIF GIFT MIN ACT  –  _______ Custodian ________
                              (Cust)                           (Minor)
                                     under Uniform Gifts to Minors
                            Act _________________
                                           (State)
         
 
Additional abbreviations may also be used though not in the above list.
 
                                                                                 
  For value received, 
 
hereby sell, assign and transfer unto
       
PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE
      
 
 
      
       
       
   PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE
 
 
 
 
     
Shares
of the common stock represented by the within Certificate, and do hereby irrevocably constitute and appoint
       
Attorney to transfer the said stock on the books of the within-named Corporation with full power of substitution in the premises.
       
 
Dated, 
       
         
         
      NOTICE:  
THE  SIGNATURE  TO  THIS ASSIGNMENT  MUST  CORRESPOND  WITH 
       
THE  NAME AS  WRITTEN  UPON  THE  FACE  OF  THE  CERTIFICATE,  IN 
       
EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT, OR
       
ANY CHANGE WHATEVER.
         
         
         
SIGNATURE(S) GUARANTEED:
    
         
       
THE  SIGNATURE(S)  MUST  BE  GUARANTEED  BY AN  ELIGIBLE  GUARANTOR
      
INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS
      
AND  CREDIT  UNIONS  WITH  MEMBERSHIP  IN  AN  APPROVED  SIGNATURE
      
GUARANTEE MEDALLION PROGRAM), PURSUANT TO S.E.C. RULE 17Ad-15.