Filing Details

Accession Number:
0001225208-14-024772
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-11 16:06:03
Reporting Period:
2014-12-10
Filing Date:
2014-12-11
Accepted Time:
2014-12-11 16:06:03
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
1417861 S Frederick Marius Two International Place
Eaton Vance
Boston MA 02110
Chief Legal 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 2014-11-03 244 $32.85 56,848 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2014-12-10 11,553 $27.50 68,141 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2014-12-10 8,539 $28.69 76,680 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2014-12-10 8,327 $24.46 85,007 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2014-12-10 7,316 $21.46 92,323 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2014-12-10 7,223 $28.23 99,546 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2014-12-10 42,958 $41.08 56,588 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 A Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M 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 2014-12-10 8,539 $0.00 8,539 $28.69
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Disposition 2014-12-10 8,327 $0.00 8,327 $24.46
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Disposition 2014-12-10 7,223 $0.00 7,223 $28.23
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Disposition 2014-12-10 11,553 $0.00 11,553 $27.50
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Disposition 2014-12-10 7,316 $0.00 7,316 $21.46
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,693 2020-11-01 No 4 M Direct
13,085 2021-11-01 No 4 M Direct
21,670 2022-11-01 No 4 M Direct
0 2019-11-02 No 4 M Direct
2 2018-11-03 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
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) $47.23 2017-11-01 8,915 8,915 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $41.90 2023-11-01 22,960 22,960 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.71 2024-11-03 32,700 32,700 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-11-01 8,915 8,915 Direct
2023-11-01 22,960 22,960 Direct
2024-11-03 32,700 32,700 Direct
Footnotes
  1. These shares were acquired under the 2013 Employee Stock Purchase Plan, which is a 16b-3 Plan.
  2. 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, Jeffrey P. Beale, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Maureen Gemma, Frederick S. Marius, Laurie G. Hylton, Cynthia Clemson, Thomas M. Metzold, Scott H. Page, Michael Weilheimer, Walter Row, David Stein, Daniel C. Cataldo, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ and Brian Langstraat are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  3. These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
  4. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  5. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  6. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
  7. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  8. Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  9. Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  10. Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.