Filing Details
- Accession Number:
- 0001225208-16-040823
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-10-31 12:46:34
- Reporting Period:
- 2016-10-27
- Filing Date:
- 2016-10-31
- Accepted Time:
- 2016-10-31 12:46:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1225367 | Jr E Thomas Faust | Two International Place Eaton Vance Boston MA 02110 | Ceo | 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 | Acquisiton | 2015-11-02 | 303 | $32.50 | 2,589,258 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2015-12-18 | 4,800 | $0.00 | 2,658,566 | No | 5 | G | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2016-02-16 | 14,077 | $25.99 | 2,672,643 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2016-05-02 | 340 | $31.08 | 2,672,983 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2016-05-16 | 223 | $26.52 | 2,673,206 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2016-08-16 | 190 | $31.07 | 2,673,396 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2016-10-27 | 187,889 | $29.39 | 2,861,285 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2016-10-27 | 166,789 | $35.94 | 2,694,496 | 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 | 5 | A | Direct | |
| No | 5 | A | 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 | 2016-10-27 | 187,889 | $0.00 | 187,889 | $29.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 28,086 | 2016-11-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Voting Trust Receipt | 74,277 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | 6,200 | Indirect | by Child/Children |
| Eaton Vance Corp. Non-Voting Common Stock | 6,200 | Indirect | By Custodian For Children |
| Eaton Vance Corp. Common Stock (Voting) | 74,277 | Indirect | By Voting Trust |
| Eaton Vance Corp. Non-Voting Common Stock | 223,080 | Indirect | Stock Option Income Deferral |
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 | 2017-11-01 | 286,259 | 286,259 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.69 | 2020-11-01 | 237,921 | 237,921 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.46 | 2021-11-01 | 310,602 | 310,602 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.23 | 2022-11-01 | 258,412 | 258,412 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $41.90 | 2023-11-01 | 221,260 | 221,260 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $27.50 | 2019-11-02 | 209,971 | 209,971 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $36.76 | 2025-11-02 | 358,340 | 358,340 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.46 | 2018-11-03 | 243,945 | 243,945 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $36.71 | 2024-11-03 | 342,640 | 342,640 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-11-01 | 286,259 | 286,259 | Direct |
| 2020-11-01 | 237,921 | 237,921 | Direct |
| 2021-11-01 | 310,602 | 310,602 | Direct |
| 2022-11-01 | 258,412 | 258,412 | Direct |
| 2023-11-01 | 221,260 | 221,260 | Direct |
| 2019-11-02 | 209,971 | 209,971 | Direct |
| 2025-11-02 | 358,340 | 358,340 | Direct |
| 2018-11-03 | 243,945 | 243,945 | Direct |
| 2024-11-03 | 342,640 | 342,640 | Direct |
Footnotes
- These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
- These shares were acquired under the 2013 Incentive Compensation Employee Stock Purchase Plan, which is a 16b-3 Plan.
- These shares were sold to cover exercise cost and tax liability for exercising a NQ stock option.
- 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, Brian D. Langstraat, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Daniel C. Cataldo, Cynthia J. Clemson, Scott H. Page, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami and Eric A. Stein are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
- 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% and 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 2, 2015 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 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
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