EPOCH HOLDING CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-20: Reporting owner BORAK ADAM; Form 4; Security Employee Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-17: Reporting owner PEARL DAVID N; Form 4; Security Employee Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-09-25: Reporting owner BORAK ADAM; Form 4; Security Employee Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-09-25: Reporting owner PEARL DAVID N; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-20 | BORAK ADAM Officer (Chief Financial Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,938 0 owned after | $6.17 exercise price | 2012-12-21 | |
| 2012-12-17 | PEARL DAVID N Officer (Executive Vice President) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,114 0 owned after | $6.17 exercise price | 2012-12-19 | |
| 2012-09-25 | BORAK ADAM Officer (Chief Financial Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,300 38,938 owned after | $6.17 exercise price | 2012-09-27 | |
| 2012-09-25 holding as of filing | PEARL DAVID N Officer (Executive Vice President) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 37,114 owned after | $6.17 exercise price | 2012-09-25 | |
| 2012-07-13 | TAUSSIG TIMOTHY T Director, Officer (Chief Operating Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,161 0 owned after | $6.17 exercise price | 2012-07-16 | |
| 2012-07-12 | TAUSSIG TIMOTHY T Director, Officer (Chief Operating Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,231 9,161 owned after | $6.17 exercise price | 2012-07-12 | |
| 2012-07-11 | TAUSSIG TIMOTHY T Director, Officer (Chief Operating Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,478 12,392 owned after | $6.17 exercise price | 2012-07-12 | |
| 2012-07-10 | TAUSSIG TIMOTHY T Director, Officer (Chief Operating Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,368 16,870 owned after | $6.17 exercise price | 2012-07-12 | |
| 2012-07-06 | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,615 0 owned after | $6.17 exercise price | 2012-07-09 | |
| 2012-06-20 holding as of filing | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 3,615 owned after | $6.17 exercise price | 2012-06-20 | |
| 2012-05-22 | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,437 3,615 owned after | $6.17 exercise price | 2012-05-24 | |
| 2012-05-18 | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 15,052 owned after | $6.17 exercise price | 2012-05-21 | |
| 2012-04-19 holding as of filing | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 35,052 owned after | $6.17 exercise price | 2012-04-19 | |
| 2012-03-19 holding as of filing | TAUSSIG TIMOTHY T Director, Officer (Chief Operating Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 41,238 owned after | $6.17 exercise price | 2012-03-19 | |
| 2012-02-21 holding as of filing | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 35,052 owned after | $6.17 exercise price | 2012-02-21 | |
| 2012-02-21 holding as of filing | TAUSSIG TIMOTHY T Director, Officer (Chief Operating Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 41,238 owned after | $6.17 exercise price | 2012-02-21 | |
| 2012-02-21 holding as of filing | PEARL DAVID N Officer (Executive Vice President) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 37,114 owned after | $6.17 exercise price | 2012-02-21 | |
| 2012-02-21 holding as of filing | BORAK ADAM Officer (Chief Financial Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 41,238 owned after | $6.17 exercise price | 2012-02-21 | |
| 2012-02-17 holding as of filing | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 35,052 owned after | $6.17 exercise price | 2012-02-17 | |
| 2012-02-17 holding as of filing | TAUSSIG TIMOTHY T Director, Officer (Chief Operating Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 41,238 owned after | $6.17 exercise price | 2012-02-17 | |
| 2012-02-17 holding as of filing | PEARL DAVID N Officer (Executive Vice President) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 37,114 owned after | $6.17 exercise price | 2012-02-17 | |
| 2012-02-17 holding as of filing | BORAK ADAM Officer (Chief Financial Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 41,238 owned after | $6.17 exercise price | 2012-02-17 | |
| 2012-02-10 holding as of filing | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 35,052 owned after | $6.17 exercise price | 2012-02-10 | |
| 2012-02-03 holding as of filing | PRIEST WILLIAM W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 35,052 owned after | $6.17 exercise price | 2012-02-03 | |
| 2012-02-03 holding as of filing | TAUSSIG TIMOTHY T Director, Officer (Chief Operating Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 41,238 owned after | $6.17 exercise price | 2012-02-03 | |
| 2012-02-03 holding as of filing | PEARL DAVID N Officer (Executive Vice President) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 37,114 owned after | $6.17 exercise price | 2012-02-03 | |
| 2012-02-03 holding as of filing | BORAK ADAM Officer (Chief Financial Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 41,238 owned after | $6.17 exercise price | 2012-02-03 |