4//SEC Filing
CLARK J PHILIP 4
Accession 0001144204-11-068857
CIK 0000351903other
Filed
Dec 6, 7:00 PM ET
Accepted
Dec 7, 5:18 PM ET
Size
11.2 KB
Accession
0001144204-11-068857
Insider Transaction Report
Form 4
CLARK J PHILIP
Executive Vice President
Transactions
- Exercise/Conversion
Employee Stock Options (Right to Buy)
2011-12-06−12,000→ 11,684 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94)Exercise: $6.17Exp: 2016-01-30→ Common Stock (12,000 underlying) - Sale
Common Stock
2011-12-06$24.31/sh−12,000$291,720→ 280,095 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94) - Exercise/Conversion
Common Stock
2011-12-06$6.17/sh+12,000$74,040→ 292,095 total(indirect: J. Philip and Deborah K. Clark TTEES U/A DTD 10/6/94)
Holdings
- 300,000(indirect: By GRATS)
Common Stock
Footnotes (3)
- [F1]This transaction was executed in multiple trades at prices ranging from $24.03 to $24.76. 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.
- [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).
Documents
Issuer
EPOCH HOLDING CORP
CIK 0000351903
Entity typeother
Related Parties
1- filerCIK 0001293663
Filing Metadata
- Form type
- 4
- Filed
- Dec 6, 7:00 PM ET
- Accepted
- Dec 7, 5:18 PM ET
- Size
- 11.2 KB