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