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