Home > Insider Trading > Filing (0001144204-10-029952)

Filing Details

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
1335636	Adam Borak	Epoch Holding Corporation, 640 Fifth Avenue, 18Th Floor New York NY 10019	Chief Financial Officer	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	2010-05-21	20,000	$12.08	99,314	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

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

The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in March 2010.
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.
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).
This transaction was executed in multiple trades at prices ranging from $11.97 to $12.24. 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.