Filing Details

Accession Number:
0001144204-10-000358
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-01-05 12:00:00
Reporting Period:
2010-01-04
Filing Date:
2010-01-05
Accepted Time:
2010-01-05 16:19:01
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, 18Th Floor
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 2010-01-04 3,500 $10.90 688,821 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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) Acquisiton 2009-01-30 41,238 $0.00 41,238 $6.17
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
41,238 2016-01-30 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 500,000 Indirect By GRAT
Footnotes
  1. The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in July 2007, as amended.
  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 Capital 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).