4//SEC Filing
Borak Adam 4
Accession 0001144204-11-000873
CIK 0000351903other
Filed
Jan 4, 7:00 PM ET
Accepted
Jan 5, 5:59 PM ET
Size
10.9 KB
Accession
0001144204-11-000873
Insider Transaction Report
Form 4
Borak Adam
Chief Financial Officer
Transactions
- Sale
Common Stock
2011-01-03$15.71/sh−2,500$39,275→ 76,814 total - Sale
Common Stock
2011-01-04$15.31/sh−300$4,593→ 76,514 total - Sale
Common Stock
2011-01-05$15.02/sh−1,700$25,534→ 74,814 total
Holdings
- 41,238
Employee Stock Options (Right to Buy)
Exercise: $6.17Exp: 2016-01-30→ Common Stock (41,238 underlying)
Footnotes (5)
- [F1]The sales reported in this filing were made pursuant to the reporting person's 10b5-1 sales plan.
- [F2]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.
- [F3]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).
- [F4]This transaction was executed in multiple trades at prices ranging from $15.50 to $15.88. 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.
- [F5]This transaction was executed in multiple trades at prices ranging from $15.00 to $15.05. 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.
Documents
Issuer
EPOCH HOLDING CORP
CIK 0000351903
Entity typeother
Related Parties
1- filerCIK 0001335636
Filing Metadata
- Form type
- 4
- Filed
- Jan 4, 7:00 PM ET
- Accepted
- Jan 5, 5:59 PM ET
- Size
- 10.9 KB