-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JfUF9yxgxcUtXNVFKhWCrVLXdXiJBMiaY0Mv4kPbPJTN+Emrb7+aI/nXHEtbU4BU VZackMdcz0cuGKCWl0bXog== 0000040417-06-000084.txt : 20061220 0000040417-06-000084.hdr.sgml : 20061220 20061220110546 ACCESSION NUMBER: 0000040417-06-000084 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061220 DATE AS OF CHANGE: 20061220 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-33496 FILM NUMBER: 061288559 BUSINESS ADDRESS: STREET 1: 640 FIFTH AVENUE STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-303-7200 MAIL ADDRESS: STREET 1: 640 FIFTH AVENUE STREET 2: 18TH FLOOR 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GENERAL AMERICAN INVESTORS CO INC CENTRAL INDEX KEY: 0000040417 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 135098450 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: SUITE 3300 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2129168400 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: SUITE 3300 CITY: NEW YORK STATE: NY ZIP: 10017 SC 13G 1 epoch13g.txt SCHEDULE 13G EPOCH ----------------------------- OMB APPROVAL ----------------------------- OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response......10.4 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. __)* Epoch Holding Corporation - ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, $0.01 Per Share Par Value - ------------------------------------------------------------------------------ (Title of Class of Securities) 29428R103 ------------------------------------------------------- (CUSIP Number) - ------------------------------------------------------------------------------ November 7, 2006 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |X| Rule 13d-1(b) | | Rule 13d-1(c) | | Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 6 - -------------------------------- CUSIP No. 29428R103 - -------------------------------- - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) General American Investors Company, Inc. 13-5098450 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (A) |_| (B) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,666,667 shares of Common Stock SHARES ----------------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY ----------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 1,666,667 shares of Common Stock REPORTING ----------------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH: 0 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,666,667 shares of Common Stock - ------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.8% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IV - ------------------------------------------------------------------------------- Page 2 of 5 - -------------------------------- CUSIP No. 29428R103 - -------------------------------- ITEM 1.(a) NAME OF ISSUER Epoch Holding Corporation (the "Issuer") ITEM 1.(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 640 Fifth Avenue New York, NY 10019 ITEM 2.(a) NAME OF PERSON FILING General American Investors Company, Inc. ITEM 2.(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 450 Lexington Avenue Suite 3300 New York, NY 10017 ITEM 2.(c) CITIZENSHIP Delaware ITEM 2.(d) TITLE OF CLASS OF SECURITIES Common Stock, $0.01 Per Share Par Value, of the Issuer (the "Common Stock") ITEM 2.(e) CUSIP NUMBER 29428R103 ITEM 3. (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 780). (b) [ ] Bank as defined in section 3(a)(6) of the Act(15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [X] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with ss240.13d-1(b)(1)(ii)E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss240.13d-1(b)1(ii)F; (g) [ ] A parent holding company or control person in accordance with ss240.13d-1(b)1(ii)G; (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with ss240.13d-1(b)(1)(ii)(J). Page 3 of 5 - -------------------------------- CUSIP No. 29428R103 - -------------------------------- ITEM 4. OWNERSHIP (a) Amount beneficially owned: 1,666,667 shares of Common Stock* (b) Percent of class: 7.8%* (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,666,667 shares of Common Stock* (ii) Shared power to vote or to direct the vote: (iii) Sole power to dispose or to direct the disposition: 1,666,667 shares of Common Stock* (iv) Shared power to dispose or to direct the disposition: *The shares of Common Stock reported as beneficially owned by the Reporting Person are shares of Common Stock which the Reporting Person has the right to acquire upon conversion of 10,000 shares of Series A Convertible Preferred Stock, $1.00 per share par value, of the Issuer. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Nor Applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not Applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable. ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 4 of 5 - -------------------------------- CUSIP No. 29428R103 - -------------------------------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: December 20, 2006 General American Investors Company, Inc. By: /s/ Eugene S. Stark ------------------------------- Name: Eugene S. Stark Title: Vice-President, Administration Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----