Filing Details
- Accession Number:
- 0001225208-10-024191
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-03 17:40:49
- Reporting Period:
- 2010-11-01
- Filing Date:
- 2010-11-03
- Accepted Time:
- 2010-11-03 17:40:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1402398 | J Matthew Witkos | Two International Place Eaton Vance Boston MA 02110 | No | No | No | Yes |
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 | 2009-11-18 | 3,107 | $29.94 | 46,664 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2010-05-03 | 492 | $23.35 | 47,156 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2010-11-02 | 15,080 | $0.00 | 62,236 | No | 4 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2010-11-02 | 492 | $29.65 | 61,744 | No | 4 | S | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2010-11-03 | 478 | $29.81 | 61,266 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | A | Direct | |
| No | 5 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | 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) | Acquisiton | 2010-11-01 | 88,500 | $0.00 | 88,500 | $29.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 88,500 | 2020-11-01 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Voting Trust Receipt | 18,623 | Direct | |
| Eaton Vance Corp. Common Stock (Voting) | 18,623 | 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) | $45.22 | 2017-07-11 | 23,572 | 23,572 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $48.39 | 2017-11-01 | 26,200 | 26,200 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.17 | 2019-11-02 | 40,520 | 40,520 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.99 | 2018-11-03 | 44,600 | 44,600 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-07-11 | 23,572 | 23,572 | Direct |
| 2017-11-01 | 26,200 | 26,200 | Direct |
| 2019-11-02 | 40,520 | 40,520 | Direct |
| 2018-11-03 | 44,600 | 44,600 | Direct |
Footnotes
- These shares were acquired under the 1992 Incentive Stock Alternative Plan, which is a 16b-3 plan.
- These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
- Restricted Stock award granted under the 2008 Omnibus Incentive Plan.
- These shares were sold to cover the tax liability associated with the vesting of a restricted stock award.
- These shares were sold to cover the tax liability associated with a restricted stock vesting event.
- All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Thomas E. Faust, Duncan Richardson, Jeffrey P. Beale, G. West Saltonstall, Payson Swaffield, Robert J. Whelan, Matthew J. Witkos, Maureen Gemma, Fredrick Marius, Cynthia Clemson, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Judith Saryan, Michael Weilheimer, Walter Row, Mark Venezia, David Stein, and Brian Langstraat are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
- Granted on 11/1/2010 these options vest over a 5 year perios in increments of 10%,15%,20%,25% and 30%.
- Granted on July 11, 2007 these options vest over a 5 year period starting in 2008 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, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
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