0001144204-12-009924.txt : 20120217
0001144204-12-009924.hdr.sgml : 20120217
20120217195828
ACCESSION NUMBER: 0001144204-12-009924
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120215
FILED AS OF DATE: 20120217
DATE AS OF CHANGE: 20120217
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: 12624506
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
v303164_4.xml
OWNERSHIP DOCUMENT
X0304
4
2012-02-15
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
2012-02-15
4
A
0
28601
25.17
A
306862
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
The reporting person was awarded 28,601 shares of the Company's Common Stock, pursuant to the Company's 2004 Omnibus Long-Term Incentive Compensation Plan. The shares of Common Stock will vest as follows: 3,575 shares vested on February 15, 2012; 3,575 shares will vest on February 15, 2013; 7,150 shares will vest on February 15, 2014 and 14,301 shares will vest on February 15, 2015, subject to continued employment with the Company on the applicable vesting dates.
The options vested in three equal installments on January 31, 2010, January 31, 2011 and January 31, 2012.
/s/ David N. Pearl
2012-02-17