Filing Details
- Accession Number:
- 0001225208-12-020161
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-27 11:07:57
- Reporting Period:
- 2012-09-26
- Filing Date:
- 2012-09-27
- Accepted Time:
- 2012-09-27 11:07:57
- 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 |
|---|---|---|---|---|---|---|---|
| 1225381 | F Payson Swaffield | 255 State Street Boston MA 02109 | 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 | 2012-09-26 | 134,328 | $14.55 | 532,436 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2012-09-26 | 95,975 | $28.63 | 436,461 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2012-09-26 | 134,328 | $0.00 | 134,328 | $14.55 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-11-01 | No | 4 | M | 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) | $21.96 | 2014-11-01 | 132,046 | 132,046 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.87 | 2015-11-01 | 109,580 | 109,580 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $30.11 | 2016-11-01 | 105,400 | 105,400 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $48.39 | 2017-11-01 | 73,300 | 73,300 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $29.39 | 2020-11-01 | 83,720 | 83,720 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $25.06 | 2021-11-01 | 139,320 | 139,320 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.17 | 2019-11-02 | 60,760 | 60,760 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $17.51 | 2013-11-03 | 130,690 | 130,690 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.99 | 2018-11-03 | 71,400 | 71,400 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-11-01 | 132,046 | 132,046 | Direct |
| 2015-11-01 | 109,580 | 109,580 | Direct |
| 2016-11-01 | 105,400 | 105,400 | Direct |
| 2017-11-01 | 73,300 | 73,300 | Direct |
| 2020-11-01 | 83,720 | 83,720 | Direct |
| 2021-11-01 | 139,320 | 139,320 | Direct |
| 2019-11-02 | 60,760 | 60,760 | Direct |
| 2013-11-03 | 130,690 | 130,690 | Direct |
| 2018-11-03 | 71,400 | 71,400 | Direct |
Footnotes
- Shares were sold to cover cost and tax liability for exercising a NQ stock option.
- 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, David C. McCabe, Payson F. Swaffield, Robert J. Whelan, Matthew J. Witkos, Maureen Gemma, Frederick S. Marius, Cynthia Clemson, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Judith R. 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 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%.
- These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
- Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 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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