Filing Details
- Accession Number:
- 0001144204-10-001417
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-01-11 12:00:00
- Reporting Period:
- 2010-01-08
- Filing Date:
- 2010-01-11
- Accepted Time:
- 2010-01-11 16:48:32
- 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 |
---|---|---|---|---|---|---|---|
1293663 | Philip J Clark | Epoch Holding Corporation 640 Fifth Avenue, 18Th Floor New York NY 10019 | Executive Vice President | No | 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 | 2010-01-08 | 19,100 | $10.95 | 1,192,779 | No | 4 | S | Indirect | J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94 |
Common Stock | Disposition | 2010-01-11 | 9,200 | $10.95 | 1,183,579 | No | 4 | S | Indirect | J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94 |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94 |
No | 4 | S | Indirect | J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94 |
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 | 35,052 | 35,052 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2016-01-30 | 35,052 | 35,052 | Indirect |
Footnotes
- The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in July 2007, as amended.
- 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 will vest in three equal installments as follows: 11,684 options on January 31, 2010; 11,684 options on January 31, 2011, and 11,684 options on January 31, 2012, subject to continued employment with the Company on the applicable vesting dates.
- 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).