0001144204-13-018430.txt : 20130328
0001144204-13-018430.hdr.sgml : 20130328
20130328180144
ACCESSION NUMBER: 0001144204-13-018430
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130327
FILED AS OF DATE: 20130328
DATE AS OF CHANGE: 20130328
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: 13725405
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
v339811_4.xml
OWNERSHIP DOCUMENT
X0306
4
2013-03-27
1
0000351903
EPOCH HOLDING CORP
EPHC
0001293770
PEARL DAVID N
EPOCH HOLDING CORPORATION
399 PARK AVENUE
NEW YORK
NY
10022
1
0
0
1
Executive Vice President
Common Stock
2013-03-27
4
D
0
60488
0
D
0
D
Common Stock
2013-03-27
4
D
0
765138
0
D
0
I
By Trust
Reflects disposition pursuant to the Agreement and Plan of Merger, dated December 6, 2012, by and between Epoch Holding Corporation ("Epoch"), The Toronto-Dominion Bank ("TD") and Empire Merger Sub, Inc. ("Merger Sub"), a wholly-owned subsidiary of TD, whereby Merger Sub merged with and into Epoch (the "Merger"), with Epoch surviving the Merger as a wholly-owned subsidiary of TD. Upon the effective time of the Merger, each share of Epoch common stock owned by the reporting person immediately prior to the effective time of the Merger was canceled and converted into the right to receive $28.00 in cash.
/s/ David N. Pearl
2013-03-28