Filing Details
- Accession Number:
- 0001225208-14-020045
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-17 08:54:53
- Reporting Period:
- 2014-09-15
- Filing Date:
- 2014-09-17
- Accepted Time:
- 2014-09-17 08:54:53
- 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 | Acquisiton | 2013-11-01 | 358 | $41.81 | 315,661 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2014-04-08 | 5,000 | $0.00 | 304,155 | No | 5 | G | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2014-05-01 | 384 | $36.07 | 304,539 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2014-09-15 | 70,080 | $21.43 | 374,619 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2014-09-15 | 55,130 | $38.91 | 319,489 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | A | Direct | |
| 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) | Disposition | 2014-09-15 | 70,080 | $0.00 | 70,080 | $21.43 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-11-01 | 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 |
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) | $24.27 | 2015-11-01 | 59,629 | 59,629 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $29.39 | 2016-11-01 | 56,556 | 56,556 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $47.23 | 2017-11-01 | 39,343 | 39,343 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.69 | 2020-11-01 | 31,987 | 31,987 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.46 | 2021-11-01 | 47,089 | 47,089 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.23 | 2022-11-01 | 44,999 | 44,999 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $41.90 | 2023-11-01 | 35,860 | 35,860 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $27.50 | 2019-11-02 | 35,410 | 35,410 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.46 | 2018-11-03 | 39,651 | 39,651 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-11-01 | 59,629 | 59,629 | Direct |
| 2016-11-01 | 56,556 | 56,556 | Direct |
| 2017-11-01 | 39,343 | 39,343 | Direct |
| 2020-11-01 | 31,987 | 31,987 | Direct |
| 2021-11-01 | 47,089 | 47,089 | Direct |
| 2022-11-01 | 44,999 | 44,999 | Direct |
| 2023-11-01 | 35,860 | 35,860 | Direct |
| 2019-11-02 | 35,410 | 35,410 | Direct |
| 2018-11-03 | 39,651 | 39,651 | Direct |
Footnotes
- These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
- These shares were acquired under the 2013 Nonqualified 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 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 1, 2013 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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