0001144204-11-021148.txt : 20110408 0001144204-11-021148.hdr.sgml : 20110408 20110408192659 ACCESSION NUMBER: 0001144204-11-021148 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110406 FILED AS OF DATE: 20110408 DATE AS OF CHANGE: 20110408 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TAUSSIG TIMOTHY T CENTRAL INDEX KEY: 0001293664 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09728 FILM NUMBER: 11750708 MAIL ADDRESS: STREET 1: EPOCH HOLDING CORPORATION STREET 2: 640 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER NAME: FORMER CONFORMED NAME: Taussig Timothy T DATE OF NAME CHANGE: 20040614 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 v218077_ex.xml X0303 4 2011-04-06 0 0000351903 EPOCH HOLDING CORP EPHC 0001293664 TAUSSIG TIMOTHY T EPOCH HOLDING CORPORATION 640 FIFTH AVENUE NEW YORK NY 10019 1 1 0 0 Chief Operating Officer Common Stock 2011-04-06 4 J 0 427826 0 D 0 I By GRAT No. 2 Common Stock 2011-04-06 4 J 0 33887 0 A 198890 D Common Stock 2011-04-06 4 J 0 393939 0 A 393939 I By Family Trust Common Stock 450000 I By GRAT No. 3 Employee Stock Options (Right to Buy) 6.17 2016-01-30 Common Stock 41238 41238 D The Timothy T. Taussig GRAT No. 2 (the "GRAT No. 2") has expired. Pursuant to the GRAT terms, the remaining shares of the Company's Common Stock were distributed to the reporting person and a family trust. The reporting person was awarded a total grant of 41,238 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: 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). /s/ Timothy T. Taussig 2011-04-06