Filing Details
- Accession Number:
- 0001225208-12-024694
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-06 14:48:14
- Reporting Period:
- 2012-12-05
- Filing Date:
- 2012-12-06
- Accepted Time:
- 2012-12-06 14:48:14
- 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 | 2012-12-05 | 16,658 | $21.99 | 58,054 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-12-05 | 9,225 | $28.17 | 67,279 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-12-05 | 8,200 | $21.96 | 75,479 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-12-05 | 8,000 | $18.99 | 83,479 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-12-05 | 7,800 | $24.87 | 91,279 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-12-05 | 7,500 | $30.11 | 98,779 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-12-05 | 4,630 | $29.39 | 103,409 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2012-12-05 | 2,322 | $25.06 | 105,731 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2012-12-05 | 64,335 | $31.99 | 41,396 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| 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 | 2012-12-05 | 8,000 | $0.00 | 8,000 | $18.99 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2012-12-05 | 8,200 | $0.00 | 8,200 | $21.96 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2012-12-05 | 7,800 | $0.00 | 7,800 | $24.87 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2012-12-05 | 7,500 | $0.00 | 7,500 | $30.11 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2012-12-05 | 4,630 | $0.00 | 4,630 | $29.39 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2012-12-05 | 2,322 | $0.00 | 2,322 | $25.06 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2012-12-05 | 9,225 | $0.00 | 9,225 | $28.17 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2012-12-05 | 16,658 | $0.00 | 16,658 | $21.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-04-14 | No | 4 | M | Direct | |
| 0 | 2014-11-01 | No | 4 | M | Direct | |
| 0 | 2015-11-01 | No | 4 | M | Direct | |
| 0 | 2016-11-01 | No | 4 | M | Direct | |
| 13,890 | 2020-11-01 | No | 4 | M | Direct | |
| 20,898 | 2021-11-01 | No | 4 | M | Direct | |
| 11,275 | 2019-11-02 | No | 4 | M | Direct | |
| 7,142 | 2018-11-03 | 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) | $48.39 | 2017-11-01 | 8,700 | 8,700 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.92 | 2022-11-01 | 28,200 | 28,200 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-11-01 | 8,700 | 8,700 | Direct |
| 2022-11-01 | 28,200 | 28,200 | Direct |
Footnotes
- 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%.
- 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%.
- 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 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
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