Filing Details

Accession Number:
0001225208-13-022043
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-10-18 15:05:12
Reporting Period:
2013-10-16
Filing Date:
2013-10-18
Accepted Time:
2013-10-18 15:05:12
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
1225358 P Jeffrey Beale Two International Place
Eaton Vance
Boston MA 02110
Chief Administrative Officer 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 Disposition 2013-03-13 5,000 $5.73 278,029 No 5 G Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2013-05-01 479 $26.03 278,508 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2013-10-16 86,678 $17.09 365,186 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2013-10-16 65,827 $39.06 299,359 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G 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) Acquisiton 2012-12-14 70,080 $0.00 70,080 $21.43
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 59,629 $0.00 59,629 $24.27
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 56,556 $0.00 56,556 $29.39
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 39,343 $0.00 39,343 $47.23
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 31,987 $0.00 31,987 $28.69
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 47,089 $0.00 47,089 $24.46
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 44,999 $0.00 44,999 $28.23
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 35,410 $0.00 35,410 $27.50
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 86,678 $0.00 86,678 $17.09
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 39,651 $0.00 39,651 $21.46
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Disposition 2013-10-16 86,678 $0.00 86,678 $17.09
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
70,080 2014-11-01 No 5 A Direct
59,629 2015-11-01 No 5 A Direct
56,556 2016-11-01 No 5 A Direct
39,343 2017-11-01 No 5 A Direct
31,987 2020-11-01 No 5 A Direct
47,089 2021-11-01 No 5 A Direct
44,999 2022-11-01 No 5 A Direct
35,410 2019-11-02 No 5 A Direct
86,678 2013-11-03 No 5 A Direct
39,651 2018-11-03 No 5 A Direct
0 2013-11-03 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Voting Trust Receipt 29,389 Direct
Eaton Vance Corp. Common Stock (Voting) 29,389 Indirect By Voting Trust
Footnotes
  1. These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
  2. Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
  3. Granted on November 1, 2005 these options vest over a 5 year period starting in 2006 in increments of 10%, 15%, 20%, 25%, and 30%
  4. Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  5. Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  6. These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
  7. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
  8. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  9. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
  10. Granted on November 3, 2003, these options vest over a 5 year period at 20% per year.
  11. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.