Filing Details

Accession Number:
0001144204-11-016632
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-03-23 17:14:38
Reporting Period:
2011-03-21
Filing Date:
2011-03-23
Accepted Time:
2011-03-23 17:14:38
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
New York NY 10019
Senior Advisor 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 2011-03-21 700 $15.70 431,254 No 4 S Indirect J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94
Common Stock Disposition 2011-03-22 700 $15.74 430,554 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 Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 300,000 Indirect By GRATS
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
  1. The sales reported in this filing were made pursuant to the reporting person's 10b5-1 sales plan.
  2. 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.
  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 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).
  4. This transaction was executed in multiple trades at prices ranging from $15.70 to $15.76. 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.