Filing Details
- Accession Number:
- 0001144204-10-041031
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-08-03 13:00:00
- Reporting Period:
- 2010-08-03
- Filing Date:
- 2010-08-03
- Accepted Time:
- 2010-08-03 21:16:45
- 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 |
---|---|---|---|---|---|---|---|
1293770 | N David Pearl | 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 | 2010-08-03 | 13,400 | $12.48 | 393,209 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-08-03 | 4,845 | $12.36 | 388,364 | No | 4 | F | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | F | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 500,000 | Indirect | By GRAT |
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 | 37,114 | 37,114 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2016-01-30 | 37,114 | 37,114 | Direct |
Footnotes
- The sales reported in this filing were made pursuant to the reporting person's 10b5-1 sales plan.
- The options will vest in three equal installments as follows: 12,371 options on January 31, 2010; 12,371 options on January 31, 2011, and 12,372 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 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 $12.47 to $12.53. 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.
- Transaction represents shares withheld by the Company to satisfy the tax withholding obligation upon the vesting of restricted stock.