0001144204-12-069314.txt : 20121221 0001144204-12-069314.hdr.sgml : 20121221 20121221163826 ACCESSION NUMBER: 0001144204-12-069314 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121220 FILED AS OF DATE: 20121221 DATE AS OF CHANGE: 20121221 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: 121282375 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 v330839_4.xml OWNERSHIP DOCUMENT X0306 4 2012-12-20 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 2012-12-20 4 M 0 38938 6.17 A 105820 D Employee Stock Options (Right to Buy) 6.17 2012-12-20 4 M 0 38938 0 D 2016-01-30 Common Stock 38938 0 D The options vested in three equal installments on January 31, 2010, January 31, 2011 and January 31, 2012. /s/ Adam Borak 2012-12-21