Filing Details
- Accession Number:
- 0001144204-12-039264
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-12 20:11:11
- Reporting Period:
- 2012-07-10
- Filing Date:
- 2012-07-12
- Accepted Time:
- 2012-07-12 19:11:11
- 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 | Acquisiton | 2012-07-10 | 24,368 | $6.17 | 335,058 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-07-10 | 24,368 | $24.05 | 310,690 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-07-11 | 4,478 | $6.17 | 315,168 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-07-11 | 4,478 | $24.00 | 310,690 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-07-12 | 3,231 | $6.17 | 313,921 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-07-12 | 3,231 | $23.90 | 310,690 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2012-07-10 | 24,368 | $0.00 | 24,368 | $6.17 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2012-07-11 | 4,478 | $0.00 | 4,478 | $6.17 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2012-07-12 | 3,231 | $0.00 | 3,231 | $6.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,870 | 2016-01-30 | No | 4 | M | Direct | |
| 12,392 | 2016-01-30 | No | 4 | M | Direct | |
| 9,161 | 2016-01-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 393,939 | Indirect | By Family Trust |
| Common Stock | 327,312 | Indirect | By GRAT No. 3 |
Footnotes
- 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 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 vested in three equal installments on January 31, 2010, January 31, 2011 and January 31, 2012.
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