Filing Details
- Accession Number:
- 0001225208-13-023019
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-06 17:26:13
- Reporting Period:
- 2013-11-04
- Filing Date:
- 2013-11-06
- Accepted Time:
- 2013-11-06 17:26:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1257596 | W Duncan Richardson | Two International Place Eaton Vance Boston MA 02110 | Executive Vice President | Yes | 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 | 2013-11-04 | 44,261 | $42.22 | 628,358 | No | 4 | F | Direct | |
| Voting Trust Receipt | Disposition | 2013-11-06 | 44,566 | $0.00 | 0 | No | 4 | J | Direct | |
| Eaton Vance Corp. Common Stock (Voting) | Disposition | 2013-11-06 | 44,566 | $5.28 | 0 | No | 4 | S | Indirect | By Voting Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | J | Direct | |
| No | 4 | S | 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) | $21.43 | 2014-11-01 | 265,973 | 265,973 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.27 | 2015-11-01 | 215,668 | 215,668 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $29.39 | 2016-11-01 | 205,730 | 205,730 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $47.23 | 2017-11-01 | 143,130 | 143,130 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.69 | 2020-11-01 | 145,814 | 145,814 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.46 | 2021-11-01 | 142,269 | 142,269 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.23 | 2022-11-01 | 59,691 | 59,691 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $27.50 | 2019-11-02 | 131,839 | 131,839 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.46 | 2018-11-03 | 146,408 | 146,408 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-11-01 | 265,973 | 265,973 | Direct |
| 2015-11-01 | 215,668 | 215,668 | Direct |
| 2016-11-01 | 205,730 | 205,730 | Direct |
| 2017-11-01 | 143,130 | 143,130 | Direct |
| 2020-11-01 | 145,814 | 145,814 | Direct |
| 2021-11-01 | 142,269 | 142,269 | Direct |
| 2022-11-01 | 59,691 | 59,691 | Direct |
| 2019-11-02 | 131,839 | 131,839 | Direct |
| 2018-11-03 | 146,408 | 146,408 | Direct |
Footnotes
- A Voting Trust Receipt represents a share of Voting Common Stock.
- 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, Jeffrey P. Beale, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Daniel C. Cataldo, Cynthia J. Clemson, Brain D. Langstraat, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Walter A. Row, Judith R. Saryan, David M. Stein, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, and Craig P. Russ are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
- 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 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, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
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