Home > Insider Trading > Filing (0001144204-11-040636)

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
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	Acquisiton	2011-07-12	1,370	$6.17	310,224	No	4	M	Indirect	J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94
Common Stock	Disposition	2011-07-12	1,370	$19.02	308,854	No	4	S	Indirect	J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94
Common Stock	Acquisiton	2011-07-13	8,699	$6.17	317,553	No	4	M	Indirect	J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94
Common Stock	Disposition	2011-07-13	8,699	$18.87	308,854	No	4	S	Indirect	J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94
Common Stock	Disposition	2011-07-13	20,000	$0.00	288,854	No	4	G	Indirect	J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94
Common Stock	Acquisiton	2011-07-14	1,299	$6.17	290,153	No	4	M	Indirect	J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94
Common Stock	Disposition	2011-07-14	1,299	$18.94	288,854	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	M	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
No	4	M	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
No	4	G	Indirect	J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94
No	4	M	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 Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Options (Right to Buy)	Disposition	2011-07-12	1,370	$0.00	1,370	$6.17
Common Stock	Employee Stock Options (Right to Buy)	Disposition	2011-07-13	8,699	$0.00	8,699	$6.17
Common Stock	Employee Stock Options (Right to Buy)	Disposition	2011-07-14	1,299	$0.00	1,299	$6.17

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
33,682	2016-01-30	No	4	M	Indirect
24,983	2016-01-30	No	4	M	Indirect
23,684	2016-01-30	No	4	M	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	300,000	Indirect	By GRATS

Footnotes

The reported transaction represents a gift to a private foundation.
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 vest in three equal installments as follows: 11,684 options vested on January 31, 2010; 11,684 options vested on January 31, 2011, and 11,684 options will vest 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 $18.79 to $18.93. 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.