0001144204-12-052880.txt : 20120925 0001144204-12-052880.hdr.sgml : 20120925 20120925162818 ACCESSION NUMBER: 0001144204-12-052880 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120924 FILED AS OF DATE: 20120925 DATE AS OF CHANGE: 20120925 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: 121109219 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 v324387_4.xml OWNERSHIP DOCUMENT X0306 4 2012-09-24 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 2012-09-24 4 G 0 3500 0 D 293599 D Common Stock 2012-09-24 4 G 0 3500 0 A 14900 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 The reported transaction represents a gift from David N. Pearl to a family trust. The options vested in three equal installments on January 31, 2010, January 31, 2011 and January 31, 2012. /s/ David N. Pearl 2012-09-25