Filing Details
- Accession Number:
- 0001225208-13-006518
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-05 08:27:55
- Reporting Period:
- 2013-03-01
- Filing Date:
- 2013-03-05
- Accepted Time:
- 2013-03-05 08:27:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1287807 | Jr H Winthrop Smith | 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 | 2013-03-01 | 12,295 | $18.53 | 18,295 | No | 4 | M | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Disposition | 2013-03-01 | 12,295 | $37.92 | 6,000 | 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) | Acquisiton | 2012-12-14 | 12,295 | $0.00 | 12,295 | $18.53 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 8,402 | $0.00 | 8,402 | $26.92 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 12,295 | $0.00 | 12,295 | $24.78 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 8,197 | $0.00 | 8,197 | $29.39 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 6,865 | $0.00 | 6,865 | $47.23 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 4,902 | $0.00 | 4,902 | $28.69 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 6,420 | $0.00 | 6,420 | $24.46 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 5,680 | $0.00 | 5,680 | $28.23 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 4,883 | $0.00 | 4,883 | $27.50 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Acquisiton | 2012-12-14 | 5,943 | $0.00 | 5,943 | $21.46 |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | Disposition | 2013-03-01 | 12,295 | $0.00 | 12,295 | $18.53 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,295 | 2014-04-14 | No | 5 | A | Direct | |
| 8,402 | 2015-12-16 | No | 5 | A | Direct | |
| 12,295 | 2014-12-17 | No | 5 | A | Direct | |
| 8,197 | 2006-11-01 | 2016-11-01 | No | 5 | A | Direct |
| 6,865 | 2007-11-01 | 2017-11-01 | No | 5 | A | Direct |
| 4,902 | 2010-11-01 | 2020-11-01 | No | 5 | A | Direct |
| 6,420 | 2011-11-01 | 2021-11-01 | No | 5 | A | Direct |
| 5,680 | 2012-11-01 | 2022-11-01 | No | 5 | A | Direct |
| 4,883 | 2009-11-02 | 2019-11-02 | No | 5 | A | Direct |
| 5,943 | 2008-11-03 | 2018-11-03 | No | 5 | A | Direct |
| 0 | 2014-04-14 | 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 | Phantom Stock | $0.00 | 2013-11-01 | 2013-11-01 | 2,133 | 2,133 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Phantom Stock | $0.00 | 2014-11-01 | 2014-11-01 | 1,795 | 1,795 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2013-11-01 | 2,133 | 2,133 | Direct |
| 2014-11-01 | 1,795 | 1,795 | Direct |
Footnotes
- These options vest over a 4 year period at 25% per year.
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