4//SEC Filing
CLARK J PHILIP 4
Accession 0001144204-11-040636
CIK 0000351903other
Filed
Jul 13, 8:00 PM ET
Accepted
Jul 14, 5:53 PM ET
Size
23.0 KB
Accession
0001144204-11-040636
Insider Transaction Report
Form 4
CLARK J PHILIP
Executive Vice President
Transactions
- Sale
Common Stock
2011-07-12$19.02/sh−1,370$26,057→ 308,854 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94) - Exercise/Conversion
Common Stock
2011-07-12$6.17/sh+1,370$8,453→ 310,224 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94) - Exercise/Conversion
Common Stock
2011-07-13$6.17/sh+8,699$53,673→ 317,553 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94) - Exercise/Conversion
Employee Stock Options (Right to Buy)
2011-07-12−1,370→ 33,682 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94)Exercise: $6.17Exp: 2016-01-30→ Common Stock (1,370 underlying) - Gift
Common Stock
2011-07-13−20,000→ 288,854 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94) - Exercise/Conversion
Common Stock
2011-07-14$6.17/sh+1,299$8,015→ 290,153 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94) - Sale
Common Stock
2011-07-13$18.87/sh−8,699$164,150→ 308,854 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94) - Sale
Common Stock
2011-07-14$18.94/sh−1,299$24,603→ 288,854 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94) - Exercise/Conversion
Employee Stock Options (Right to Buy)
2011-07-13−8,699→ 24,983 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94)Exercise: $6.17Exp: 2016-01-30→ Common Stock (8,699 underlying) - Exercise/Conversion
Employee Stock Options (Right to Buy)
2011-07-14−1,299→ 23,684 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94)Exercise: $6.17Exp: 2016-01-30→ Common Stock (1,299 underlying)
Holdings
- 300,000(indirect: By GRATS)
Common Stock
Footnotes (4)
- [F1]The reported transaction represents a gift to a private foundation.
- [F2]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.
- [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 $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.
Documents
Issuer
EPOCH HOLDING CORP
CIK 0000351903
Entity typeother
Related Parties
1- filerCIK 0001293663
Filing Metadata
- Form type
- 4
- Filed
- Jul 13, 8:00 PM ET
- Accepted
- Jul 14, 5:53 PM ET
- Size
- 23.0 KB