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