0001144204-12-010263.txt : 20120221 0001144204-12-010263.hdr.sgml : 20120220 20120221174324 ACCESSION NUMBER: 0001144204-12-010263 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120221 FILED AS OF DATE: 20120221 DATE AS OF CHANGE: 20120221 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: 12627934 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 v303375_4.xml OWNERSHIP DOCUMENT X0304 4 2012-02-21 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 2012-02-21 4 F 0 9763 24.67 D 297099 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 options vested in three equal installments on January 31, 2010, January 31, 2011 and January 31, 2012. /s/ David N. Pearl 2012-02-21