0001144204-12-039264.txt : 20120712
0001144204-12-039264.hdr.sgml : 20120712
20120712191111
ACCESSION NUMBER: 0001144204-12-039264
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120710
FILED AS OF DATE: 20120712
DATE AS OF CHANGE: 20120712
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TAUSSIG TIMOTHY T
CENTRAL INDEX KEY: 0001293664
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09728
FILM NUMBER: 12960185
MAIL ADDRESS:
STREET 1: EPOCH HOLDING CORPORATION
STREET 2: 640 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER NAME:
FORMER CONFORMED NAME: Taussig Timothy T
DATE OF NAME CHANGE: 20040614
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
v318420_4.xml
OWNERSHIP DOCUMENT
X0306
4
2012-07-10
0
0000351903
EPOCH HOLDING CORP
EPHC
0001293664
TAUSSIG TIMOTHY T
EPOCH HOLDING CORPORATION
640 FIFTH AVENUE
NEW YORK
NY
10019
1
1
0
0
Chief Operating Officer
Common Stock
2012-07-10
4
M
0
24368
6.17
A
335058
D
Common Stock
2012-07-10
4
S
0
24368
24.05
D
310690
D
Common Stock
2012-07-11
4
M
0
4478
6.17
A
315168
D
Common Stock
2012-07-11
4
S
0
4478
24.00
D
310690
D
Common Stock
2012-07-12
4
M
0
3231
6.17
A
313921
D
Common Stock
2012-07-12
4
S
0
3231
23.90
D
310690
D
Common Stock
393939
I
By Family Trust
Common Stock
327312
I
By GRAT No. 3
Employee Stock Options (Right to Buy)
6.17
2012-07-10
4
M
0
24368
0
D
2016-01-30
Common Stock
24368
16870
D
Employee Stock Options (Right to Buy)
6.17
2012-07-11
4
M
0
4478
0
D
2016-01-30
Common Stock
4478
12392
D
Employee Stock Options (Right to Buy)
6.17
2012-07-12
4
M
0
3231
0
D
2016-01-30
Common Stock
3231
9161
D
This transaction was executed in multiple trades at prices ranging from $24.00 to $24.34. 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.
The reporting person was awarded a total grant of 41,238 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.
/s/ Timothy T. Taussig
2012-07-12