-----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, AhW3LLr4opg1qiVCkD3D16tO53ll8bxudOGF418gjtGZ3K9C1897K5FQ94YIZQQh QMwH5Eh1UFRiZYSqA06QYA== 0001144204-10-052280.txt : 20101004 0001144204-10-052280.hdr.sgml : 20101004 20101004173202 ACCESSION NUMBER: 0001144204-10-052280 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101004 DATE AS OF CHANGE: 20101004 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PRIEST WILLIAM W CENTRAL INDEX KEY: 0001022394 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09728 FILM NUMBER: 101106863 MAIL ADDRESS: STREET 1: EPOCH HOLDING CORPORATION STREET 2: 640 FIFTH AVENUE, 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 4 1 v198226_ex.xml X0303 4 2010-09-30 0 0000351903 EPOCH HOLDING CORP EPHC 0001022394 PRIEST WILLIAM W EPOCH HOLDING CORPORATION 640 FIFTH AVENUE, 18TH FLOOR NEW YORK NY 10019 1 1 1 0 Chief Executive Officer Common Stock 2010-09-30 4 S 0 200 12.90 D 697483 I By GRAT 2009 Common Stock 2010-10-01 4 S 0 900 12.95 D 696583 I By GRAT 2009 Common Stock 2045085 D Common Stock 40000 I By Spouse Employee Stock Options (Right to Buy) 6.17 2016-01-30 Common Stock 35052 35052 D The sales reported in this filing were made pursuant to the reporting person's 10b5-1 sales plan. The reporting person was awarded a total grant of 35,052 options to acquire shares of the Company's Common Stock, pursuant to the Company's 2004 Omnibus Long-Term Incentive Compensation Plan. The options will vest in three equal installments as follows: 11,684 options on January 31, 2010; 11,684 options on January 31, 2011, and 11,684 options on January 31, 2012, subject to continued employment with the Company on the applicable vesting dates. Upon vesting, the options to acquire shares of the Company's Common Stock are exercisable only if the volume weighted average price of the Company's Common Stock shall equal or exceed $9.25 for a period of at least 20 trading days on the Nasdaq Global Select Market (subject to customary adjustments in the event of any change in the outstanding common stock of the Company by reason of any stock dividend, stock split or other corporate exchange or any extraordinary distribution to shareholders of the Company). This transaction was executed in multiple trades at prices ranging from $12.90 to $13.01. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected. /s/ William W. Priest 2010-10-04 -----END PRIVACY-ENHANCED MESSAGE-----