Filing Details
- Accession Number:
- 0001225208-18-016983
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-20 21:33:50
- Reporting Period:
- 2018-11-15
- Accepted Time:
- 2018-12-20 21:33:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1402398 | J Matthew Witkos | Two International Place Eaton Vance Boston MA 02110 | No | No | No | Yes |
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 | 2018-11-15 | 21 | $43.66 | 344 | No | 4 | P | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Eaton Vance Corp. Non-Voting Common Stock | 230,310 | Direct | |
| Voting Trust Receipt | 18,623 | Direct | |
| Eaton Vance Corp. Common Stock (Voting) | 18,623 | 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) | $24.46 | 2021-11-01 | 4,088 | 4,088 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.23 | 2022-11-01 | 33,411 | 33,411 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.69 | 2020-11-01 | 30,673 | 30,673 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $34.84 | 2026-11-01 | 127,340 | 127,340 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $36.71 | 2024-11-03 | 108,580 | 108,580 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $36.76 | 2025-11-02 | 105,220 | 105,220 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $41.90 | 2023-11-01 | 91,760 | 91,760 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $45.50 | 2028-11-01 | 106,520 | 106,520 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $50.67 | 2027-11-01 | 79,660 | 79,660 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-11-01 | 4,088 | 4,088 | Direct |
| 2022-11-01 | 33,411 | 33,411 | Direct |
| 2020-11-01 | 30,673 | 30,673 | Direct |
| 2026-11-01 | 127,340 | 127,340 | Direct |
| 2024-11-03 | 108,580 | 108,580 | Direct |
| 2025-11-02 | 105,220 | 105,220 | Direct |
| 2023-11-01 | 91,760 | 91,760 | Direct |
| 2028-11-01 | 106,520 | 106,520 | Direct |
| 2027-11-01 | 79,660 | 79,660 | Direct |
Footnotes
- Transaction reported on this Form 4 represents acqusition under a broker-sponsored dividend program.
- The total number of shares indirectly owned (by the Trust) is 2,694 after giving effect to the transaction reported on this Form 4. This number includes 2,350 shares previously reported as directly owned. The amount otherwise appearing in column 5 is automatically generated by the software used to prepare this report and does not reflect all indirect holdings as of the date of the transaction being reported.
- 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, 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, 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, 2010, these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- Granted on November 1, 2016 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%.
- 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 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.
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