0001144204-12-031075.txt : 20120521 0001144204-12-031075.hdr.sgml : 20120521 20120521170518 ACCESSION NUMBER: 0001144204-12-031075 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120518 FILED AS OF DATE: 20120521 DATE AS OF CHANGE: 20120521 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PRIEST WILLIAM W CENTRAL INDEX KEY: 0001022394 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09728 FILM NUMBER: 12859555 MAIL ADDRESS: STREET 1: EPOCH HOLDING CORPORATION STREET 2: 640 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 4 1 v314138_4.xml OWNERSHIP DOCUMENT X0305 4 2012-05-18 0 0000351903 EPOCH HOLDING CORP EPHC 0001022394 PRIEST WILLIAM W EPOCH HOLDING CORPORATION 640 FIFTH AVENUE NEW YORK NY 10019 1 1 1 0 Chief Executive Officer Common Stock 2012-05-18 4 M 0 20000 6.17 A 1597484 D Common Stock 2012-05-18 4 S 0 20000 24.05 D 1577484 D Common Stock 540000 I By Spouse Common Stock 240683 I By Family Trust Employee Stock Options (Right to Buy) 6.17 2012-05-18 4 M 0 20000 0 D 2016-01-30 Common Stock 20000 15052 D This transaction was executed in multiple trades at prices ranging from $24.00 to $24.34. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected. The reporting person was awarded a total grant of 35,052 options to acquire shares of the Company's Common Stock, pursuant to the Company's 2004 Omnibus Long-Term Incentive Compensation Plan. The options vested in three equal installments on January 31, 2010, January 31, 2011 and January 31, 2012. /s/ William W. Priest 2012-05-21