0001144204-11-068854.txt : 20111207
0001144204-11-068854.hdr.sgml : 20111207
20111207171617
ACCESSION NUMBER: 0001144204-11-068854
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111206
FILED AS OF DATE: 20111207
DATE AS OF CHANGE: 20111207
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
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: 111249290
MAIL ADDRESS:
STREET 1: EPOCH HOLDING CORPORATION
STREET 2: 640 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10019
4
1
v242633_ex.xml
OWNERSHIP DOCUMENT
X0304
4
2011-12-06
0
0000351903
EPOCH HOLDING CORP
EPHC
0001022394
PRIEST WILLIAM W
EPOCH HOLDING CORPORATION
640 FIFTH AVENUE
NEW YORK
NY
10019
1
1
1
0
Chief Executive Officer
Common Stock
2011-12-06
4
G
0
1300
0
D
2059901
D
Common Stock
2011-12-06
4
G
0
500
0
D
2059401
D
Common Stock
340683
I
By Family Trust
Common Stock
40000
I
By Spouse
Employee Stock Options (Right to Buy)
6.17
2016-01-30
Common Stock
35052
35052
D
The reported transaction represents a gift from William W. Priest to an educational institution.
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).
The reported transaction represents a gift from William W. Priest to a charitable institution.
/s/ William W. Priest
2011-12-07