0001144204-11-071259.txt : 20111222
0001144204-11-071259.hdr.sgml : 20111222
20111222165700
ACCESSION NUMBER: 0001144204-11-071259
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111221
FILED AS OF DATE: 20111222
DATE AS OF CHANGE: 20111222
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: 111278072
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
v243837_4.xml
OWNERSHIP DOCUMENT
X0304
4
2011-12-21
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
2011-12-21
4
G
0
15000
0
D
173314
D
Common Stock
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 reported transaction represents a gift from Timothy T. Taussig to a charitable foundation.
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 vest in three equal installments as follows: 13,746 options vested on January 31, 2010; 13,746 options vested on January 31, 2011, and 13,746 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/ Timothy T. Taussig
2011-12-22