0001144204-12-068792.txt : 20121219
0001144204-12-068792.hdr.sgml : 20121219
20121219185521
ACCESSION NUMBER: 0001144204-12-068792
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121217
FILED AS OF DATE: 20121219
DATE AS OF CHANGE: 20121219
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: 121275515
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
v330589_4.xml
OWNERSHIP DOCUMENT
X0306
4
2012-12-17
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
2012-12-17
4
M
0
37114
6.17
A
330713
D
Common Stock
14900
I
By Family Trust
Common Stock
500000
I
By GRAT
Employee Stock Options (Right to Buy)
6.17
2012-12-17
4
M
0
37114
0
D
2016-01-30
Common Stock
37114
0
D
The options vested in three equal installments on January 31, 2010, January 31, 2011 and January 31, 2012.
/s/ David N. Pearl
2012-12-19