0001144204-12-005859.txt : 20120203 0001144204-12-005859.hdr.sgml : 20120203 20120203172630 ACCESSION NUMBER: 0001144204-12-005859 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120203 FILED AS OF DATE: 20120203 DATE AS OF CHANGE: 20120203 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: 12571251 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 v301221_4.xml OWNERSHIP DOCUMENT X0304 4 2012-02-03 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 2012-02-03 4 F 0 3196 23.81 D 278261 D Common Stock 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 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 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 vested 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 vested on January 31, 2012. 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 2012-02-03