Filing Details
- Accession Number:
- 0001225208-13-022043
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-18 15:05:12
- Reporting Period:
- 2013-10-16
- Filing Date:
- 2013-10-18
- Accepted Time:
- 2013-10-18 15:05:12
- 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 | Disposition | 2013-03-13 | 5,000 | $5.73 | 278,029 | No | 5 | G | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2013-05-01 | 479 | $26.03 | 278,508 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2013-10-16 | 86,678 | $17.09 | 365,186 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2013-10-16 | 65,827 | $39.06 | 299,359 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | A | 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) | Acquisiton | 2012-12-14 | 70,080 | $0.00 | 70,080 | $21.43 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 59,629 | $0.00 | 59,629 | $24.27 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 56,556 | $0.00 | 56,556 | $29.39 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 39,343 | $0.00 | 39,343 | $47.23 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 31,987 | $0.00 | 31,987 | $28.69 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 47,089 | $0.00 | 47,089 | $24.46 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 44,999 | $0.00 | 44,999 | $28.23 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 35,410 | $0.00 | 35,410 | $27.50 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 86,678 | $0.00 | 86,678 | $17.09 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 39,651 | $0.00 | 39,651 | $21.46 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2013-10-16 | 86,678 | $0.00 | 86,678 | $17.09 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 70,080 | 2014-11-01 | No | 5 | A | Direct | |
| 59,629 | 2015-11-01 | No | 5 | A | Direct | |
| 56,556 | 2016-11-01 | No | 5 | A | Direct | |
| 39,343 | 2017-11-01 | No | 5 | A | Direct | |
| 31,987 | 2020-11-01 | No | 5 | A | Direct | |
| 47,089 | 2021-11-01 | No | 5 | A | Direct | |
| 44,999 | 2022-11-01 | No | 5 | A | Direct | |
| 35,410 | 2019-11-02 | No | 5 | A | Direct | |
| 86,678 | 2013-11-03 | No | 5 | A | Direct | |
| 39,651 | 2018-11-03 | No | 5 | A | Direct | |
| 0 | 2013-11-03 | 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 |
Footnotes
- These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
- 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 starting in 2006 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 1, 2012 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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