0001144204-11-019780.txt : 20110401
0001144204-11-019780.hdr.sgml : 20110401
20110401172209
ACCESSION NUMBER: 0001144204-11-019780
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110401
FILED AS OF DATE: 20110401
DATE AS OF CHANGE: 20110401
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BORAK ADAM
CENTRAL INDEX KEY: 0001335636
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09728
FILM NUMBER: 11732637
MAIL ADDRESS:
STREET 1: EPOCH HOLDING CORPORATION
STREET 2: 640 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER NAME:
FORMER CONFORMED NAME: Borak Adam
DATE OF NAME CHANGE: 20050808
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
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-303-7200
MAIL ADDRESS:
STREET 1: 640 FIFTH AVENUE
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
4
1
v217343_ex.xml
X0303
4
2011-04-01
0
0000351903
EPOCH HOLDING CORP
V217343
0001335636
BORAK ADAM
EPOCH HOLDING CORPORATION
640 FIFTH AVENUE
NEW YORK
NY
10019
0
1
0
0
Chief Financial Officer
Common Stock
2011-04-01
4
S
0
7500
15.83
D
68883
D
Employee Stock Options (Right to Buy)
6.17
2016-01-30
Common Stock
41238
41238
D
The sales reported in this filing were made pursuant to the reporting person's 10b5-1 sales plan.
The options will vest in three equal installments as follows: 13,746 options on January 31, 2010; 13,746 options on January
31, 2011, and 13,746 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 $15.80 to $15.85. 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/ Adam Borak
2011-04-01