0001144204-11-043205.txt : 20110801 0001144204-11-043205.hdr.sgml : 20110801 20110801175323 ACCESSION NUMBER: 0001144204-11-043205 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110728 FILED AS OF DATE: 20110801 DATE AS OF CHANGE: 20110801 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CLARK J PHILIP CENTRAL INDEX KEY: 0001293663 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09728 FILM NUMBER: 111001477 MAIL ADDRESS: STREET 1: EPOCH HOLDING CORPORATION STREET 2: 640 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER NAME: FORMER CONFORMED NAME: CLARK PHILIP J DATE OF NAME CHANGE: 20070806 FORMER NAME: FORMER CONFORMED NAME: Clark J Philip 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 v230429_ex.xml OWNERSHIP DOCUMENT X0304 4 2011-07-28 0 0000351903 EPOCH HOLDING CORP EPHC 0001293663 CLARK J PHILIP EPOCH HOLDING CORPORATION 640 FIFTH AVENUE NEW YORK NY 10019 0 1 0 0 Senior Advisor Common Stock 2011-07-28 4 F 0 8759 19.26 D 280095 I J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94 Common Stock 300000 I By GRATS Employee Stock Options (Right to Buy) 6.17 2016-01-30 Common Stock 23684 23684 I J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94 Transaction represents shares withheld by the Company to satisfy the tax withholding obligation upon the vesting of restricted stock. 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 vest in three equal installments as follows: 11,684 options vested on January 31, 2010; 11,684 options vested on January 31, 2011, and 11,684 options will vest 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/ J. Philip Clark 2011-08-01