Filing Details

Accession Number:
0001225208-14-020045
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-17 08:54:53
Reporting Period:
2014-09-15
Filing Date:
2014-09-17
Accepted Time:
2014-09-17 08:54:53
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 Acquisiton 2013-11-01 358 $41.81 315,661 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2014-04-08 5,000 $0.00 304,155 No 5 G Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2014-05-01 384 $36.07 304,539 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2014-09-15 70,080 $21.43 374,619 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2014-09-15 55,130 $38.91 319,489 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 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 2014-09-15 70,080 $0.00 70,080 $21.43
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-11-01 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
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) $24.27 2015-11-01 59,629 59,629 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $29.39 2016-11-01 56,556 56,556 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $47.23 2017-11-01 39,343 39,343 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.69 2020-11-01 31,987 31,987 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $24.46 2021-11-01 47,089 47,089 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.23 2022-11-01 44,999 44,999 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $41.90 2023-11-01 35,860 35,860 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $27.50 2019-11-02 35,410 35,410 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $21.46 2018-11-03 39,651 39,651 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2015-11-01 59,629 59,629 Direct
2016-11-01 56,556 56,556 Direct
2017-11-01 39,343 39,343 Direct
2020-11-01 31,987 31,987 Direct
2021-11-01 47,089 47,089 Direct
2022-11-01 44,999 44,999 Direct
2023-11-01 35,860 35,860 Direct
2019-11-02 35,410 35,410 Direct
2018-11-03 39,651 39,651 Direct
Footnotes
  1. These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
  2. These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
  3. Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
  4. Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  5. Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  6. Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  7. These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
  8. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
  9. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  10. Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  11. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
  12. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.