Filing Details
- Accession Number:
- 0001225208-12-022496
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-06 15:33:51
- Reporting Period:
- 2012-11-01
- Filing Date:
- 2012-11-06
- Accepted Time:
- 2012-11-06 15:33:51
- 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 |
---|---|---|---|---|---|---|---|
1417861 | S Frederick Marius | Two International Place Eaton Vance Boston MA 02110 | Chief Legal 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 | 2011-11-01 | 527 | $23.66 | 36,194 | No | 5 | A | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-05-01 | 553 | $22.55 | 35,384 | No | 5 | A | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-11-01 | 8,040 | $0.00 | 43,424 | No | 4 | A | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2012-11-02 | 811 | $29.17 | 42,613 | No | 4 | S | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2012-11-05 | 1,217 | $28.94 | 41,396 | 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 | 2012-11-01 | 28,200 | $0.00 | 28,200 | $28.92 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
28,200 | 2022-11-01 | 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) | $18.99 | 2014-04-14 | 8,000 | 8,000 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.96 | 2014-11-01 | 8,200 | 8,200 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.87 | 2015-11-01 | 7,800 | 7,800 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $30.11 | 2016-11-01 | 7,500 | 7,500 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $48.39 | 2017-11-01 | 8,700 | 8,700 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $29.39 | 2020-11-01 | 18,520 | 18,520 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $25.06 | 2021-11-01 | 23,220 | 23,220 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.92 | 2022-11-01 | 28,200 | 28,200 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.17 | 2019-11-02 | 20,500 | 20,500 | Direct | |
Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.99 | 2018-11-03 | 23,800 | 23,800 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-04-14 | 8,000 | 8,000 | Direct |
2014-11-01 | 8,200 | 8,200 | Direct |
2015-11-01 | 7,800 | 7,800 | Direct |
2016-11-01 | 7,500 | 7,500 | Direct |
2017-11-01 | 8,700 | 8,700 | Direct |
2020-11-01 | 18,520 | 18,520 | Direct |
2021-11-01 | 23,220 | 23,220 | Direct |
2022-11-01 | 28,200 | 28,200 | Direct |
2019-11-02 | 20,500 | 20,500 | Direct |
2018-11-03 | 23,800 | 23,800 | Direct |
Footnotes
- 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 a restricted stock vesting event.
- Grant amended to reflect correct conversion price of $28.92.
- Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- Granted on April 14, 2004 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, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.