Filing Details
- Accession Number:
- 0001225208-10-020919
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-09-16 12:11:52
- Reporting Period:
- 2010-09-15
- Filing Date:
- 2010-09-16
- Accepted Time:
- 2010-09-16 12:11:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 350797 | Eaton Vance Corp | EV | Investment Advice (6282) | 042718215 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1225358 | P Jeffrey Beale | Two International Place Eaton Vance Boston MA 02110 | Chief Administrative Officer | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2010-09-15 | 43,848 | $12.27 | 218,324 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2010-09-15 | 28,000 | $12.27 | 246,324 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2010-09-15 | 29,200 | $29.14 | 217,124 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2010-09-15 | 28,000 | $12.27 | 28,000 | $12.27 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2010-09-15 | 43,848 | $12.27 | 43,848 | $12.27 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 43,848 | 2010-11-01 | No | 4 | M | Direct | |
| 0 | 2010-11-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Voting Trust Receipt | 29,389 | Direct | |
| Eaton Vance Corp. Common Stock (Voting) | 29,389 | Indirect | By Voting Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $14.34 | 2011-11-01 | 76,400 | 76,400 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $14.55 | 2012-11-01 | 82,400 | 82,400 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.96 | 2014-11-01 | 68,400 | 68,400 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.87 | 2015-11-01 | 58,200 | 58,200 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $30.11 | 2016-11-01 | 55,200 | 55,200 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $48.39 | 2017-11-01 | 38,400 | 38,400 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.17 | 2019-11-02 | 34,560 | 34,560 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $17.51 | 2013-11-03 | 84,600 | 84,600 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.99 | 2018-11-03 | 38,700 | 38,700 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2011-11-01 | 76,400 | 76,400 | Direct |
| 2012-11-01 | 82,400 | 82,400 | Direct |
| 2014-11-01 | 68,400 | 68,400 | Direct |
| 2015-11-01 | 58,200 | 58,200 | Direct |
| 2016-11-01 | 55,200 | 55,200 | Direct |
| 2017-11-01 | 38,400 | 38,400 | Direct |
| 2019-11-02 | 34,560 | 34,560 | Direct |
| 2013-11-03 | 84,600 | 84,600 | Direct |
| 2018-11-03 | 38,700 | 38,700 | Direct |
Footnotes
- These shares were sold to cover the cost and tax liabilities associated with exercise a NQ stock option
- Granted on November 1, 2000, these options vest over a 5 year period at 20% per year.
- Granted on November 1, 2001, these options vest over a 5 year period at 20% per year.
- Granted on November 1, 2002, these options vest over a 5 year period at 20% per year.
- Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
- Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
- Granted on November 3, 2003, these options vest over a 5 year period at 20% per year.
- Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
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