-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, H+dlx8byM9oqmB15I9RChJx8TkWvazU3tPhLaycNKjFeScguhJaRAgSJ1L3ffada r6LHf0B+d16mEkxX4muGzw== 0000351903-05-000022.txt : 20050912 0000351903-05-000022.hdr.sgml : 20050912 20050912163959 ACCESSION NUMBER: 0000351903-05-000022 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050912 ITEM INFORMATION: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing FILED AS OF DATE: 20050912 DATE AS OF CHANGE: 20050912 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EPOCH HOLDING CORP CENTRAL INDEX KEY: 0000351903 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 201938886 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09728 FILM NUMBER: 051080319 BUSINESS ADDRESS: STREET 1: 640 FIFTH AVENUE STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-303-7200 MAIL ADDRESS: STREET 1: 640 FIFTH AVENUE STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: J NET ENTERPRISES INC DATE OF NAME CHANGE: 20010123 FORMER COMPANY: FORMER CONFORMED NAME: JACKPOT ENTERPRISES INC DATE OF NAME CHANGE: 19920703 8-K 1 nasdaqsmallcap.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest event reported): September 12, 2005 EPOCH HOLDING CORPORATION ______________________________________________________ (Exact name of registrant as specified in its charter) Delaware 1-9728 20-1938886 ____________________________ ________________________ ___________________ (State or other jurisdiction (Commission File Number) (IRS Employer of incorporation) Identification No.) 640 Fifth Avenue, 18th Floor, New York, NY 10019 __________________________________________ ________ Address of principal executive offices Zip Code Registrant's telephone number, including area code: 212-303-7200 N/A _____________________________________________________________ (Former name or former address, if changed since last report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: [ ] 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)) Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard. Transfer of Listing. On September 12, 2005, Epoch Holding Corporation ("Epoch" or the "Company") announced that its application for listing on The NASDAQ SmallCap Market ("Nasdaq SmallCap") has been approved. The Company expects to commence trading within the next 30 days. Epoch's trading on the Over- the-Counter Bulletin Board will cease upon commencement of trading on Nasdaq SmallCap. Item 9.01 Financial Statements and Exhibits (c) Exhibit Exhibit No. 99.1 Press Release dated September 12, 2005 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. EPOCH HOLDING CORPORATION /s/ Adam Borak _______________________________ Name: Adam Borak Title: Chief Financial Officer Date: September 12, 2005 EX-99 2 ex99.txt Exhibit 99.1 Epoch Announces Nasdaq SmallCap Listing Approval September 12, 2005 - Epoch Holding Corporation, a Delaware corporation ("Epoch"), announced that its application for listing on The NASDAQ SmallCap Market ("NASDAQ SmallCap") has been approved. The Company expects to commence trading on Nasdaq SmallCap under Epoch's current symbol, "EPHC", within the next 30 days. Epoch's trading on the Over-the-Counter Bulletin Board will cease upon commencement of trading on Nasdaq SmallCap. About Epoch Holding Corporation Epoch Holding Corporation conducts its operations through Epoch Investment Partners, Inc., a wholly-owned subsidiary and a registered investment adviser under the Investment Advisers Act of 1940. Investment management and investment advisory services are the Company's sole line-of-business. Headquartered in New York with offices in Sherman Oaks, Calif., the company's current product offering includes U.S. Value; U.S. Small Cap Value; U.S. All Cap Value; U.S. Balanced; Global Small Cap Value; Absolute Return; and, as of January 2005, International Small Cap. Additional information about Epoch Holding Corporation and Epoch Investment Partners can be found at www.eipny.com Safe Harbor Statement: This press release may contain forward-looking statements that involve known and unknown risks, uncertainties and other factors which may cause the actual results, performance or achievements of the Company to be materially different from any future results, performance or achievements expressed or implied in such forward-looking statements. Additional discussion of factors that could cause actual results to differ materially from management's projections, estimates and expectations is contained in the Company's SEC filings. The Company undertakes no duty to update its forward-looking statements, including its earnings outlook. Contacts at Epoch Holding Corporation: Adam Borak, 212-303-7200 or Phil Clark, 212-303-7200 -----END PRIVACY-ENHANCED MESSAGE-----