0001144204-12-053380.txt : 20120927
0001144204-12-053380.hdr.sgml : 20120927
20120927204907
ACCESSION NUMBER: 0001144204-12-053380
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120925
FILED AS OF DATE: 20120927
DATE AS OF CHANGE: 20120927
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BORAK ADAM
CENTRAL INDEX KEY: 0001335636
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09728
FILM NUMBER: 121114396
MAIL ADDRESS:
STREET 1: EPOCH HOLDING CORPORATION
STREET 2: 640 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER NAME:
FORMER CONFORMED NAME: Borak Adam
DATE OF NAME CHANGE: 20050808
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
v324565_4.xml
OWNERSHIP DOCUMENT
X0306
4
2012-09-25
0
0000351903
EPOCH HOLDING CORP
EPHC
0001335636
BORAK ADAM
EPOCH HOLDING CORPORATION
640 FIFTH AVENUE
NEW YORK
NY
10019
0
1
0
0
Chief Financial Officer
Common Stock
2012-09-25
4
M
0
2300
6.17
A
69182
D
Common Stock
2012-09-25
4
S
0
2300
23.41
D
66882
D
Employee Stock Options (Right to Buy)
6.17
2012-09-25
4
M
0
2300
0
D
2016-01-30
Common Stock
2300
38938
D
This transaction was executed in multiple trades at prices ranging from $23.32 to $23.60. 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 options vested in three equal installments on January 31, 2010, January 31, 2011 and January 31, 2012.
/s/ Adam Borak
2012-09-27