Filing Details

Accession Number:
0001144204-10-054743
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-10-20 17:20:47
Reporting Period:
2010-10-18
Filing Date:
2010-10-20
Accepted Time:
2010-10-20 17:20:47
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
351903 Epoch Holding Corp EPHC Investment Advice (6282) 201938886
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1293664 T Timothy Taussig Epoch Holding Corporation
640 Fifth Avenue
New York NY 10019
Chief Operating Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2010-10-18 15,600 $13.25 707,326 No 4 S Direct
Common Stock Disposition 2010-10-20 2,700 $13.25 704,626 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 420,763 Indirect By GRAT 2009
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Employee Stock Options (Right to Buy) $6.17 2016-01-30 41,238 41,238 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-01-30 41,238 41,238 Direct
Footnotes
  1. The sales reported in this filing were made pursuant to the reporting person's 10b5-1 sales plan.
  2. The reporting person was awarded a total grant of 41,238 options to acquire shares of the Company's Common Stock, pursuant to the Company's 2004 Omnibus Long-Term Incentive Compensation Plan. The options will vest in three equal installments as follows: 13,746 options on January 31, 2010; 13,746 options on January 31, 2011, and 13,746 options on January 31, 2012, subject to continued employment with the Company on the applicable vesting dates.
  3. Upon vesting, the options to acquire shares of the Company's Common Stock are exercisable only if the volume weighted average price of the Company's Common Stock shall equal or exceed $9.25 for a period of at least 20 trading days on the Nasdaq Global Select Market (subject to customary adjustments in the event of any change in the outstanding common stock of the Company by reason of any stock dividend, stock split or other corporate exchange or any extraordinary distribution to shareholders of the Company).