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