Filing Details
- Accession Number:
- 0001225208-11-023692
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-10-26 15:41:46
- Reporting Period:
- 2011-10-25
- Filing Date:
- 2011-10-26
- Accepted Time:
- 2011-10-26 15:41:46
- 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 | 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 | 2010-11-01 | 482 | $28.77 | 615,305 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2011-05-02 | 472 | $33.77 | 663,697 | No | 5 | A | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2011-10-25 | 127,246 | $14.34 | 821,297 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2011-10-25 | 97,000 | $24.30 | 724,297 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2011-10-25 | 127,246 | $0.00 | 127,246 | $14.34 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-11-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Voting Trust Receipt | 44,566 | Direct | |
| Eaton Vance Corp. Common Stock (Voting) | 44,566 | 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) | $14.55 | 2012-11-01 | 282,600 | 282,600 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.96 | 2014-11-01 | 259,600 | 259,600 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $24.87 | 2015-11-01 | 210,500 | 210,500 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $30.11 | 2016-11-01 | 200,800 | 200,800 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $48.39 | 2017-11-01 | 139,700 | 139,700 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $29.39 | 2020-11-01 | 142,320 | 142,320 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.17 | 2019-11-02 | 128,680 | 128,680 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $17.51 | 2013-11-03 | 273,000 | 273,000 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.99 | 2018-11-03 | 142,900 | 142,900 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-11-01 | 282,600 | 282,600 | Direct |
| 2014-11-01 | 259,600 | 259,600 | Direct |
| 2015-11-01 | 210,500 | 210,500 | Direct |
| 2016-11-01 | 200,800 | 200,800 | Direct |
| 2017-11-01 | 139,700 | 139,700 | Direct |
| 2020-11-01 | 142,320 | 142,320 | Direct |
| 2019-11-02 | 128,680 | 128,680 | Direct |
| 2013-11-03 | 273,000 | 273,000 | Direct |
| 2018-11-03 | 142,900 | 142,900 | Direct |
Footnotes
- These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
- Granted on November 1, 2001, these options vest over a 5 year period at 20% per year.
- These shares were sold to cover the cost and tax liability associated with a NQ stock option exercise.
- Granted on November 1, 2002, these options vest over a 5 year period at 20% per year.
- 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 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
- Granted on November 3, 2003, these options vest over a 5 year period at 20% per year.
- Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Billionaire Hedge Funds
