0001144204-12-038744.txt : 20120709 0001144204-12-038744.hdr.sgml : 20120709 20120709192510 ACCESSION NUMBER: 0001144204-12-038744 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120705 FILED AS OF DATE: 20120709 DATE AS OF CHANGE: 20120709 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: 12954259 MAIL ADDRESS: STREET 1: EPOCH HOLDING CORPORATION STREET 2: 640 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 4 1 v318096_4.xml OWNERSHIP DOCUMENT X0306 4 2012-07-05 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 2012-07-05 4 S 0 5315 24.50 D 534685 I By Spouse Common Stock 2012-07-06 4 M 0 3615 6.17 A 1578899 D Common Stock 2012-07-06 4 S 0 3615 24.00 D 1575284 D Common Stock 240683 I By Family Trust Employee Stock Options (Right to Buy) 6.17 2012-07-06 4 M 0 3615 0 D 2016-01-30 Common Stock 3615 0 D The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's spouse. 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 on January 31, 2010, January 31, 2011 and January 31, 2012. This transaction was executed in multiple trades at prices ranging from $24.50 to $24.53. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected. This transaction was executed in multiple trades at prices ranging from $24.00 to $24.07. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected. /s/ William W. Priest 2012-07-09