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