0001144204-11-050155.txt : 20110826
0001144204-11-050155.hdr.sgml : 20110826
20110826185453
ACCESSION NUMBER: 0001144204-11-050155
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110826
FILED AS OF DATE: 20110826
DATE AS OF CHANGE: 20110826
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PEARL DAVID N
CENTRAL INDEX KEY: 0001293770
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09728
FILM NUMBER: 111061149
MAIL ADDRESS:
STREET 1: EPOCH HOLDING CORPORATION
STREET 2: 640 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER NAME:
FORMER CONFORMED NAME: Pearl David N
DATE OF NAME CHANGE: 20040615
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
v233652_4.xml
OWNERSHIP DOCUMENT
X0304
4
2011-08-26
0
0000351903
EPOCH HOLDING CORP
EPHC
0001293770
PEARL DAVID N
EPOCH HOLDING CORPORATION
640 FIFTH AVENUE
NEW YORK
NY
10019
0
1
0
0
Executive Vice President
Common Stock
2011-08-26
4
G
0
5600
0
D
281457
D
Common Stock
2011-08-26
4
G
0
5600
0
A
11400
I
By Family Trust
Common Stock
500000
I
By GRAT
Employee Stock Options (Right to Buy)
6.17
2016-01-30
Common Stock
37114
37114
D
The reported transaction represents a gift from David N. Pearl to a family trust.
The reporting person was awarded a total grant of 37,114 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: 12,371 options vested on January 31, 2010; 12,371 options vested on January 31, 2011, and 12,372 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 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/ David N. Pearl
2011-08-26