0001144204-12-007311.txt : 20120210 0001144204-12-007311.hdr.sgml : 20120210 20120210162603 ACCESSION NUMBER: 0001144204-12-007311 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120209 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 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: 12593254 MAIL ADDRESS: STREET 1: EPOCH HOLDING CORPORATION STREET 2: 640 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 4 1 v302069_4.xml OWNERSHIP DOCUMENT X0304 4 2012-02-09 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 2012-02-09 4 G 0 500000 0 D 1556031 D Common Stock 2012-02-09 4 G 0 500000 0 A 540000 I By Spouse Common Stock 340683 I By Family Trust Employee Stock Options (Right to Buy) 6.17 2016-01-30 Common Stock 35052 35052 D No consideration received. 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 vested 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 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 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/ William W. Priest 2012-02-10