Filing Details
- Accession Number:
- 0001225208-16-039566
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-21 15:01:15
- Reporting Period:
- 2016-09-19
- Filing Date:
- 2016-09-21
- Accepted Time:
- 2016-09-21 15:01:15
- 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 |
|---|---|---|---|---|---|---|---|
| 1200493 | E Dorothy Puhy | Two International Place Eaton Vance Boston MA 02110 | Yes | No | 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 | 2016-09-19 | 8,197 | $29.39 | 15,787 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2016-09-19 | 6,197 | $38.75 | 9,590 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2016-09-19 | 8,197 | $0.00 | 8,197 | $29.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-11-01 | 2016-11-01 | No | 4 | M | Direct |
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) | $47.23 | 2007-11-01 | 2017-11-01 | 6,865 | 6,865 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.69 | 2010-11-01 | 2020-11-01 | 4,902 | 4,902 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.46 | 2011-11-01 | 2021-11-01 | 6,420 | 6,420 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.23 | 2012-11-01 | 2022-11-01 | 5,680 | 5,680 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $41.90 | 2013-11-01 | 2023-11-01 | 4,045 | 4,045 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $27.50 | 2009-11-02 | 2019-11-02 | 4,883 | 4,883 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $36.76 | 2015-11-02 | 2025-11-02 | 7,451 | 7,451 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $36.71 | 2014-11-03 | 2024-11-03 | 5,737 | 5,737 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Phantom Stock | $0.00 | 2017-11-02 | 2017-11-02 | 1,534 | 1,534 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Phantom Stock | $0.00 | 2016-11-03 | 2016-11-03 | 1,437 | 1,437 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-11-01 | 6,865 | 6,865 | Direct |
| 2020-11-01 | 4,902 | 4,902 | Direct |
| 2021-11-01 | 6,420 | 6,420 | Direct |
| 2022-11-01 | 5,680 | 5,680 | Direct |
| 2023-11-01 | 4,045 | 4,045 | Direct |
| 2019-11-02 | 4,883 | 4,883 | Direct |
| 2025-11-02 | 7,451 | 7,451 | Direct |
| 2024-11-03 | 5,737 | 5,737 | Direct |
| 2017-11-02 | 1,534 | 1,534 | Direct |
| 2016-11-03 | 1,437 | 1,437 | Direct |
Footnotes
- Shares were sold to cover the cost of exercising a NQ stock option.
- Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock. The shares of Phantom Stock become payable in cash at the earlier of the second anniversary of the grant date or the date of the non-employee director's termination.
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